Denise J. Rich

USADVISORS WEALTH MANAGEMENT

INVER GROVE HEIGHTS, MN 55076

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CRD#: 4629515

Professional summary

Denise Jean Rich is a registered financial advisor currently at USADVISORS WEALTH MANAGEMENT, LLC located in Inver Grove Heights, Minnesota and OSAIC WEALTH, INC. located in Inver Grove Heights, Minnesota.

Denise is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2004. Denise has worked at 4 firms and has passed the Series 66, 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. USADVISORS WEALTH MANAGEMENT POSITION: Wealth Advisor NATURE: Advisory INVESTMENT RELATED: Yes NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 100 START DATE: 11/23/2020 ADDRESS: 5774 Blackshire Path, Inver Grove Heights MN 55076, United States DESCRIPTION: meet with clients and prospects. create financial plans. Open Accounts. Allocation investments. Review Allocations. Advisory services 2. USADVISORS INSURANCE POSITION: Producer NATURE: Insurance Agency INVESTMENT RELATED: Yes NUMBER OF HOURS: 5 SECURITIES TRADING HOURS: 5 START DATE: 10/08/2024 ADDRESS: 5774 Blackshire Path, Inver Grove Heights MN 55076, United States DESCRIPTION: Insurance producer - I am newly licensed and have not met with any prospective clients yet. 3. MINNEAPOLIS WOMEN'S ROTARY POSITION: member NATURE: This is a venue for networking, friendship and to raise money for charities who benefit women and children in Minnesota INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 10/09/2024 ADDRESS: 7300 Metro Blvd., Suite 630, Minneapolis MN 55439, United States DESCRIPTION: I am a member and I volunteer for selection of organization to be benefactors of the fundraising events.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denise Jean Rich's CRS (Customer Relationship Summary).

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®

None

Experience

Current

November 30, 2020 - Present

USADVISORS WEALTH MANAGEMENT, LLC

Office #1: 5774 Blackshire Path, Inver Grove Heights, MN 55076

RIA

CRD#: 158108

INVER GROVE HEIGHTS, MN

Current

June 14, 2024 - Present

OSAIC WEALTH, INC.

Office #1: 5774 Blackshire Path, Inver Grove Heights, MN 55076

RIA

CRD#: 23131

Inver Grove Heights, MN

Past

September 9, 2019 - June 14, 2024

SECURITIES AMERICA, INC.

CRD#: 10205

Inver Grove Heights, MN

Past

July 19, 2006 - April 18, 2017

SECURITIES AMERICA, INC.

CRD#: 10205

LAKE ELMO, MN

Past

July 19, 2004 - July 27, 2006

PFS INVESTMENTS INC.

CRD#: 10111

DULUTH, GA

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".

USADVISORS WEALTH MANAGEMENT, LLC

CRD#: 158108 / SEC#: 801-77961

RIA

Registered Investment Advisory firm - (4/24/2013 Approved)

District of Columbia

Registered Investment Advisory firm - (4/24/2013 Terminated)

Indiana

Registered Investment Advisory firm - (4/29/2013 Terminated)

Iowa

Registered Investment Advisory firm - (4/24/2013 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/25/2013 Terminated)

Michigan

Registered Investment Advisory firm - (5/1/2013 Terminated)

Minnesota

Registered Investment Advisory firm - (4/24/2013 Terminated)

North Dakota

Registered Investment Advisory firm - (4/24/2013 Terminated)

Ohio

Registered Investment Advisory firm - (4/24/2013 Terminated)

South Dakota

Registered Investment Advisory firm - (4/24/2013 Terminated)

Tennessee

Registered Investment Advisory firm - (5/23/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/24/2013 Terminated)

Virginia

Registered Investment Advisory firm - (4/24/2013 Terminated)

Washington

Registered Investment Advisory firm - (4/30/2013 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/24/2013 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.

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

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

California
(8/9/2024)

Florida
(8/13/2024)

Illinois
(6/14/2024)

IAR

Minnesota
(12/1/2020)

Minnesota
(6/14/2024)

New York
(6/14/2024)

Virginia
(8/2/2024)

Wisconsin
(8/13/2024)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/19/2020

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 5/7/2004

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 4/18/2017

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/26/2006

General Securities Representative Examination

General Industry/Product Exam

Series 6

Date: 7/16/2004

Investment Company Products/Variable Contracts Representative Examination

SRO Registrations

FINRA

Current Firm

USADVISORS WEALTH MANAGEMENT, LLC

CRD#: 158108 / SEC#: 801-77961

RIA

Registered Investment Advisory firm - (4/24/2013 Approved)

District of Columbia

Registered Investment Advisory firm - (4/24/2013 Terminated)

Indiana

Registered Investment Advisory firm - (4/29/2013 Terminated)

Iowa

Registered Investment Advisory firm - (4/24/2013 Terminated)

Massachusetts

Registered Investment Advisory firm - (4/25/2013 Terminated)

Michigan

Registered Investment Advisory firm - (5/1/2013 Terminated)

Minnesota

Registered Investment Advisory firm - (4/24/2013 Terminated)

North Dakota

Registered Investment Advisory firm - (4/24/2013 Terminated)

Ohio

Registered Investment Advisory firm - (4/24/2013 Terminated)

South Dakota

Registered Investment Advisory firm - (4/24/2013 Terminated)

Tennessee

Registered Investment Advisory firm - (5/23/2013 Terminated)

Texas

Registered Investment Advisory firm - (4/24/2013 Terminated)

Virginia

Registered Investment Advisory firm - (4/24/2013 Terminated)

Washington

Registered Investment Advisory firm - (4/30/2013 Terminated)

Wisconsin

Registered Investment Advisory firm - (4/24/2013 Terminated)

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Contact information

Main Address

15750 Venture Lane, Eden Prairie, MN 55344

Mailing Address

Phone number

(952) 829-0000

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (32 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A (2/7/2025)

Regulatory assets under management

Total Number of Accounts	2,380
AUM (Assets Under Management)	$ 488,134,595

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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Advisor Monitoring

Firm Stability Insights

Denise J. Rich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Denise Jean Rich's CRS (Customer Relationship Summary).

Certified licenses

Experience

OSAIC WEALTH, INC.

SECURITIES AMERICA, INC.

SECURITIES AMERICA, INC.

PFS INVESTMENTS INC.

Primary Firm SEC Registration

USADVISORS WEALTH MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/19/2020

Series 63

Date: 5/7/2004

SIE

Date: 4/18/2017

Series 7

Date: 10/26/2006

Series 6

Date: 7/16/2004

FINRA

Current Firm

USADVISORS WEALTH MANAGEMENT, LLC

Contact information

SEC notice filing (32 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

USADVISORS WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

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