Richard P. Domingue

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CRD#: 4508180

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Paul Domingue was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 2002. Richard had worked at 5 firms and has passed the Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

December 5, 2014 - March 14, 2017

WEALTHSPIRE RETIREMENT ADVISORY

RIA

CRD#: 121254

LAFAYETTE, LA

Past

March 22, 2011 - July 9, 2014

BROUSSARD FINANCIAL GROUP, LLC

RIA

CRD#: 123724

KAPLAN, LA

Past

May 31, 2005 - March 21, 2011

UBS FINANCIAL SERVICES INC.

RIA

CRD#: 8174

LAFAYETTE, LA

Past

July 29, 2004 - March 21, 2011

UBS FINANCIAL SERVICES INC.

CRD#: 8174

LAFAYETTE, LA

Past

May 31, 2002 - July 29, 2004

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

CRD#: 2580

FORT WAYNE, IN

Past

May 31, 2002 - July 29, 2004

OSAIC FA, INC.

CRD#: 3978

FORT WAYNE, IN

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 8/24/2004

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 5/29/2002

General Securities Representative Examination

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

CRD#: 121254 / SEC#: 801-66107

RIA

Registered Investment Advisory firm - (1/31/2006 Approved)

California

Registered Investment Advisory firm - (2/9/2006 Terminated)

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Contact information

Main Address

120 Vantis Suite 400, Aliso Viejo, CA 92656

Mailing Address

Phone number

(949) 460-9898

Established

Firm type

Fiscal year end

# of Employees

240

SEC notice filing (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

NFP RETIREMENT (11/20/2025)

Regulatory assets under management

Total Number of Accounts	9,394
AUM (Assets Under Management)	$ 118,031,461,765

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

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Richard P. Domingue

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

WEALTHSPIRE RETIREMENT ADVISORY

BROUSSARD FINANCIAL GROUP, LLC

UBS FINANCIAL SERVICES INC.

UBS FINANCIAL SERVICES INC.

THE LINCOLN NATIONAL LIFE INSURANCE COMPANY

OSAIC FA, INC.

Primary Firm SEC Registration

WEALTHSPIRE RETIREMENT ADVISORY

State Registrations and Notice Filings

Exams

Series 66

Date: 8/24/2004

Series 7

Date: 5/29/2002

Current Firm

WEALTHSPIRE RETIREMENT ADVISORY

Contact information

SEC notice filing (52 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WEALTHSPIRE RETIREMENT ADVISORY

TRUST BUT VERIFY

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