Richard D. Loek

ONESTA WEALTH MANAGEMENT

Sacramento, CA

Some features on this profile are disabled

CRD#: 5473384

Professional summary

Richard Duane Loek, who also goes by Rick Loek, is a registered financial advisor currently at ONESTA WEALTH MANAGEMENT, LLC located in Sacramento, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2008. Richard has worked at 3 firms and has passed the Series 65 exam.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Rick Loek

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.

CALRIMA FINANCIAL & INSURANCE AGENCY; INVESTMENT RELATED; 3511 Del Paso Rd, #160-425, Sacramento CA 95835; INSURANCE; CEO/INSURANCE AGENT SINCE 09/2006. APPROXIMATELY 80 PER MONTH - 20 WITHIN MARKET HOURS; RUN AND MANAGE INSURANCE AGENCY

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Duane Loek'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®

None

Experience

Current

December 11, 2012 - Present

ONESTA WEALTH MANAGEMENT, LLC

RIA

CRD#: 165177

Sacramento, CA

Past

June 22, 2010 - December 12, 2012

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA

CRD#: 132070

CAMPBELL, CA

Past

January 7, 2008 - June 18, 2010

HORTER INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 119880

SAN JOSE, CA

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
(12/11/2012)

IAR

Texas
(3/7/2023)

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 65

Date: 12/18/2007

Uniform Investment Adviser Law Examination

Current Firm

ONESTA WEALTH MANAGEMENT, LLC

CRD#: 165177 / SEC#:

California

Registered Investment Advisory firm - (12/11/2012 Approved)

Texas

Registered Investment Advisory firm - (3/7/2023 Conditional Restricted)

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

Sacramento, CA

Mailing Address

3511 Del Paso Rd #160-425, Sacramento, CA 95835

Phone number

(408) 786-0508

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	36
AUM (Assets Under Management)	$ 13,939,766

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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

Why Advisor Check

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard D. Loek

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Duane Loek's CRS (Customer Relationship Summary).

Certified licenses

Experience

ONESTA WEALTH MANAGEMENT, LLC

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

HORTER INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/18/2007

Current Firm

ONESTA WEALTH MANAGEMENT, LLC

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

ONESTA WEALTH MANAGEMENT, LLC

TRUST BUT VERIFY

Similar Advisors