RG
Richard A. Ginel
SAGEVIEW ADVISORY GROUP
KNOXVILLE, TN 37919
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CRD#: 5090898
RG
Professional summary
Richard A Ginel JR, CIMA® is a registered financial advisor currently at SAGEVIEW ADVISORY GROUP, LLC located in Knoxville, Tennessee.
Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2006. Richard has worked at 4 firms and has passed the Series 66, SIE 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.
1.NAME OF OTHER BUSINESS: SAGEVIEW ADVISORY GROUP INVESTMENT RELATED: YES ADDRESS: SAME AS REGISTERED LOCATION NATURE OF BUSINESS: ADVISORY BUSINESS POSITION/TITLE/RELATIONSHIP: ADVISORY REPRESENTATIVE START DATE: 2013 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 32.5 BRIEF DESCRIPTION OF DUTIES: ADVISORY SERVICES 2. NAME OF OTHER BUSINESS: SAGE VIEW ADVISORY INVESTMENT RELATED: YES ADDRESS: 8331 E. WALKER SPRINGS LANE, SUITE 301 KNOXVILLE TN 37923; 1111 N. Northshore Drive, Suite N325, Knoxville, TN 37919 NATURE OF BUSINESS: ADVISORY SERVICES START DATE: 07/2013 APX NUMBER OF HOURS PER WEEK: 40 APX NUMBER OF HOURS DURING TRADING HOURS: 40 BRIEF DESCRIPTION OF DUTIES: PARTNER - ADMINISTRATIVE SUPPORT
CRS (Client Relationship Summary) - RIA
Click below to view Richard A Ginel JR'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®
Experience
Current
August 14, 2013 - Present
SAGEVIEW ADVISORY GROUP, LLC
Office #1: 3834 Sutherland Avenue, Knoxville, TN 37919RIA
CRD#: 126777
KNOXVILLE, TN
Past
August 6, 2013 - December 31, 2018
CETERA WEALTH SERVICES, LLC
RIA
CRD#: 13572
KNOXVILLE, TN
Past
August 6, 2013 - December 31, 2018
CETERA WEALTH SERVICES, LLC
BD
CRD#: 13572
KNOXVILLE, TN
Past
March 16, 2006 - July 29, 2013
USI ADVISORS
RIA
CRD#: 108113
KNOXVILLE, TN
Past
February 23, 2006 - July 29, 2013
USI SECURITIES, INC.
BD
CRD#: 43793
KNOXVILLE, TN
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".
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)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
Tennessee(8/14/2013)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Current Firm
SA
SAGEVIEW ADVISORY GROUP, LLC
401K BFS GROUP, LLC | SAGEVIEW RETIREMENT PLAN CONSULTANTS, INC. | SAGEVIEW GLOBAL PENSIONS, LLC | SAGEVIEW ADVISORY GROUP, LLC | RELATIONAL ADVISORS
CRD#: 126777 / SEC#: 801-64265
RIA
Registered Investment Advisory firm - (5/31/2005 Approved)California
Registered Investment Advisory firm - (6/7/2005 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
4000 Macarthur Blvd. Suite 1050, Newport Beach, CA 92660
Mailing Address
Phone number
(800) 814-8742
Established
Firm type
Fiscal year end
# of Employees
248
SEC notice filing (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 13,295 |
| AUM (Assets Under Management) | $ 238,552,018,915 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
SAGEVIEW ADVISORY GROUP, LLC
CRD#: 126777Knoxville, TN 37919TRUST BUT VERIFY
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