RP
Richard Park
THE STRATEGIC FINANCIAL ALLIANCE
Ewa Beach, HI
Some features on this profile are disabled
CRD#: 4557055
RP
Professional summary
Richard Park III is a registered financial advisor currently at THE STRATEGIC FINANCIAL ALLIANCE, INC. located in Ewa Beach, Hawaii.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Richard has worked at 6 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
1) Name: Certified Divorce Financial Analyst Position: Owner/Sole Proprietor Nature: Assist divorcing individuals with hypotheticals with different division of asset scenarios. Help with pension calculations, spouse/child support calculations, real estate division calculations, budgeting, mediation support, litigation support. Investment Related: No Hours: 5 Securities Trading Hours: 0 Start Date: 03/08/2017 Address: 91-1027 Kaihohonu Street, Ewa Beach HI 96706, United States Description: Assist divorcing individuals with hypotheticals with different division of asset scenarios. Help with pension calculations, spouse/child support calculations, real estate division calculations, budgeting, mediation support, litigation support. 2) Name: Hawaii Spartan Ohana Position: Owner/Sole Proprietor Nature: Organizing and selling promotional items such as t-shirts, stickers, etc., for our Spartan group to raise funds for training equipment and supplies for training. Investment Related: No Hours: 5 Securities Trading Hours: 0 Start Date: 10/05/2018 Address: 91-1027 Kaihohonu Street, Ewa Beach HI 96706, United States Description: organize printing of shirts and stickers, etc. 3) Name: Life Insurance Position: Owner/Sole ProprietorNature: Life insurance, LTC, Hybrid Life/LTC Investment Related: Yes Hours: 5 Securities Trading Hours: 0 Start Date: 10/05/2022 Address: 91-1027 Kaihohonu Street, Ewa Beach HI 96706, United States Description: Evaluate and offer life and ltc protection options. 4.) Name: Keihatsu Capital LLC Position: Owner/Sole ProprietorNature: Financial services, investments, financial planning, managed accounts Investment Related: Yes Hours: 160 Securities Trading Hours: 80 Start Date: 10/05/2022 Address: 91-1027 Kaihohonu Street, Ewa Beach HI 96706, United States Description: meet with clients, run financial plan, help with planning and investments.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Park III's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Park III's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
January 8, 2024 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
RIA
BD
CRD#: 126514
Ewa Beach, HI
Current
January 8, 2024 - Present
THE STRATEGIC FINANCIAL ALLIANCE, INC.
RIA
BD
CRD#: 126514
Ewa Beach, HI
Past
September 1, 2023 - January 11, 2024
OSAIC WEALTH, INC.
RIA
CRD#: 23131
EWA BEACH, HI
Past
September 1, 2023 - January 11, 2024
OSAIC WEALTH, INC.
BD
CRD#: 23131
EWA BEACH, HI
Past
September 10, 2019 - September 1, 2023
OSAIC SERVICES, INC.
RIA
CRD#: 133763
HONOLULU, HI
Past
September 10, 2019 - September 1, 2023
OSAIC SERVICES, INC.
BD
CRD#: 133763
HONOLULU, HI
Past
October 21, 2013 - September 3, 2019
OSAIC WEALTH, INC.
RIA
CRD#: 23131
Honolulu, HI
Past
October 18, 2013 - September 3, 2019
OSAIC WEALTH, INC.
BD
CRD#: 23131
Honolulu, HI
Past
March 18, 2009 - November 23, 2010
SECURITIES AMERICA, INC.
BD
CRD#: 10205
HONOLULU, HI
Past
February 6, 2009 - October 21, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
HONOLULU, HI
Past
February 6, 2009 - October 21, 2013
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
HONOLULU, HI
Past
December 17, 2003 - January 28, 2009
VALIC FINANCIAL ADVISORS, INC.
RIA
CRD#: 42803
HONOLULU, HI
Past
July 11, 2002 - January 28, 2009
VALIC FINANCIAL ADVISORS, INC.
BD
CRD#: 42803
HONOLULU, HI
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".
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(1/8/2024)
RR
Hawaii(1/8/2024)
IAR
Hawaii(1/8/2024)
RR
New Mexico(1/8/2024)
RR
Washington(1/8/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
TS
THE STRATEGIC FINANCIAL ALLIANCE, INC.
ADAMS FINANCIAL SERVICES | WELLSPRING ADVISORY SERVICES, LLC | TOM BECK COMPANY | THE STRATEGIC FINANCIAL ALLIARCE | THE STRATEGIC FINANCIAL ALLIANCE, INC. | THE STRATEGIC FINANCIAL ALLIANCE | THE RAPPAHANNOCK WEALTH ADVISORS, INC. | THE BAKER FINANCIAL GROUP, LLC | STARR CAPITAL | SNYDER FINANCIAL GROUP | SHERPA FINANCIAL ADVISORS | RELIANCE ADVISORY SERVICES, INC. | RAUSCH FINANCIAL SERVICES | PRIVATE CLIENT ADVISORY | PREHMUS FINANCIAL PARTNERS | OAK WEALTH MANAGEMENT | O'NEIL FINANCIAL ADVISORS | NORTH GEORGIA WEALTH ADVISORS | NAKAMURA STRATEGIC FINANCIAL PLANNING | MONEY CONCEPTS, INC. | MAIN ADVISORY | LFA PRIVATE WEALTH MANAGEMENT | LEGACY FINANCIAL ASSOCIATES | KOEHN FINANCIAL GROUP | KNIGHT ASSET MANAGEMENT | KJM WEALTH MANAGEMENT | KEOWEE FINANCIAL GROUP, INC. | KEIHATSU WEALTH MANAGEMENT | KEEN ADVISOR GROUP | KEEN & POCOCK | KAP FINANCIAL SOLUTIONS | GROWTHPOINT ADVISORS, LLC | GOLDEN SWORD ALLIANCE | GEORGIA WEALTH PARTNERS | GENCREST CAPITAL PARTNERS | FRANK REYNOLDS AND COMPANY | FINANCIAL PLANNING ADVISORY SERVICE, INC. | ENCORE FINANCIAL CONSULTING | DUNN FINANCIAL SERVICES | DERAND CAPITAL MANAGEMENT GROUP / THE RETIREMENT COACH | DAVIS WEALTH PLANNING | CORRIGAN FINANCIAL | CORNERSTONE WEALTH SERVICES | CORNERSTONE WEALTH MANAGEMENT | COMPASS WEALTH MANAGEMENT | CAROLINA WEALTH ADVISORS | CARNEGIE WEALTH MANAGEMENT | CARLYLE WEALTH MANAGEMENT | CAPITAL INSIGHT GROUP | BOWERS PRIVATE WEALTH MANAGEMENT | BENNCO ADVISORS
CRD#: 126514 / SEC#: 801-62226, 8-65885
RIA
Registered Investment Advisory firm - SEC (7/18/2003 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Atlanta district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Mailing Address
2200 Century Parkway Suite 500, Atlanta, GA 30345
Phone number
(678) 954-4000
Established
Georgia since 02/13/2003
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
63
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SFA HOLDINGS, INC. | SHAREHOLDER | |
| COPELAND, JOSEPH KILLINGSWORTH | VICE PRESIDENT, INFORMATION SYSTEMS & TECHNOLOGY | 6847982 |
| GOLDSMITH, ARTHUR BERTRAM | SVP | 706059 |
| HARRELL, VERONICA RAY | ASSISTANT VICE-PRESIDENT | 5898449 |
| JONES, DEADERICK K | VICE PRESIDENT, CCO | 3029947 |
| SCHROLL, DAVID | VICE-PRESIDENT SUPERVISION | 5055067 |
| SLOVIN, CLIVE | DIRECTOR | 1101301 |
| SULLIVAN, JULIE ANN | PRESIDENT, DIRECTOR | 1112088 |
| TATUM, ANNA ELISE | CFO | 7273094 |
Regulatory assets under management
| Total Number of Accounts | 1,394 |
| AUM (Assets Under Management) | $ 470,940,835 |
Disclosures
| Regulatory Event | 1 |
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.
