Richard E. Nerad

NERAD + DEPPE WEALTH MANAGEMENT

La Jolla, CA 92037

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CRD#: 4666376

Professional summary

Richard Edward Nerad, AIF® is a registered financial advisor currently at NERAD + DEPPE WEALTH MANAGEMENT located in La Jolla, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2003. Richard has worked at 5 firms and has passed the Series 66, Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Edward Nerad'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

April 20, 2020 - Present

NERAD + DEPPE WEALTH MANAGEMENT

Office #1: 4250 Executive Square Suite 545, La Jolla, CA 92037

RIA

CRD#: 151284

La Jolla, CA

Past

September 30, 2019 - May 29, 2020

ALPHACORE CAPITAL LLC

RIA

CRD#: 174346

San Diego, CA

Past

November 9, 2009 - December 6, 2019

NERAD + DEPPE WEALTH MANAGEMENT

RIA

CRD#: 151284

SAN DIEGO, CA

Past

May 13, 2004 - October 28, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN DIEGO, CA

Past

May 4, 2004 - July 3, 2006

IDS LIFE INSURANCE COMPANY

CRD#: 6321

MINNEAPOLIS, MN

Past

May 4, 2004 - October 28, 2009

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SAN DIEGO, CA

Past

July 22, 2003 - February 11, 2004

EDWARD JONES

CRD#: 250

ST. LOUIS, MO

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".

N+

NERAD + DEPPE WEALTH MANAGEMENT

NDWM LLC | NERAD AND DEPPE WEALTH MANAGEMENT | NERAD + DEPPE WEALTH MANAGEMENT | NERAD & DEPPE WEALTH MANAGEMENT LLC

CRD#: 151284 / SEC#: 801-123689

RIA

Registered Investment Advisory firm - (4/15/2022 Approved)

California

Registered Investment Advisory firm - (5/18/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/18/2022 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.

Highlighted states indicate IAR registrations

IAR

California
(4/20/2020)

IAR

Texas
(4/20/2020)

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: 5/12/2004

Uniform Combined State Law Examination

State Security Law Exam

Series 63

Date: 7/24/2003

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/21/2003

General Securities Representative Examination

Current Firm

N+

NERAD + DEPPE WEALTH MANAGEMENT

NDWM LLC | NERAD AND DEPPE WEALTH MANAGEMENT | NERAD + DEPPE WEALTH MANAGEMENT | NERAD & DEPPE WEALTH MANAGEMENT LLC

CRD#: 151284 / SEC#: 801-123689

RIA

Registered Investment Advisory firm - (4/15/2022 Approved)

California

Registered Investment Advisory firm - (5/18/2022 Terminated)

Texas

Registered Investment Advisory firm - (4/18/2022 Terminated)

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Contact information

Main Address

4250 Executive Square Suite 545, La Jolla, CA 92037

Mailing Address

Phone number

(858) 457-1325

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (5 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV 2A - FIRM BROCHURE - NDWM LLC (2/3/2025)

Regulatory assets under management

Total Number of Accounts	645
AUM (Assets Under Management)	$ 162,418,341

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

Richard E. Nerad

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Edward Nerad's CRS (Customer Relationship Summary).

Certified licenses

Experience

ALPHACORE CAPITAL LLC

NERAD + DEPPE WEALTH MANAGEMENT

AMERIPRISE FINANCIAL SERVICES, LLC

IDS LIFE INSURANCE COMPANY

AMERIPRISE FINANCIAL SERVICES, LLC

EDWARD JONES

Primary Firm SEC Registration

NERAD + DEPPE WEALTH MANAGEMENT

State Registrations and Notice Filings

Exams

Series 66

Date: 5/12/2004

Series 63

Date: 7/24/2003

Series 7

Date: 7/21/2003

Current Firm

NERAD + DEPPE WEALTH MANAGEMENT

Contact information

SEC notice filing (5 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

NERAD + DEPPE WEALTH MANAGEMENT

TRUST BUT VERIFY

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