Christopher R. Rick
KEYSTONE PRIVATE WEALTH
Palm Desert, CA 92260
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CRD#: 5828957
Professional summary
Christopher Raymond Rick, CFP® is a registered financial advisor currently at KEYSTONE PRIVATE WEALTH located in Palm Desert, California and PURSHE KAPLAN STERLING INVESTMENTS located in Palm Desert, California.
Christopher is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2010. Christopher has worked at 7 firms and has passed the Series 66, SIE, Series 7 and Series 9 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) Keystone Wealth Services DBA Keystone Private Wealth; Investment Related. 73575 El Paseo 2300, Palm Desert CA 92260; RIA; Title - Executive Vice President & Sr Financial Advisor. Start 06/2021. 140 hours per month, 120 Per Mth During Trading. Financial Advisor, Investment Mgmt., Financial Planning. 2) PKS Financial; Investment Related; 80 State Street, Albany, NY 12207; Fixed/Traditional Insurance; Title - Agent; Start - 06/2021; 4 Hrs/Mth; 4 Hrs During Securities Trading Hrs; Sales of Fixed/Traditional Products 3) Caress Insurance Agency Inc; Non-Investment Related; 79461 Bermuda Dunes Dr., Bermuda Dunes, CA 92203; Medicare Insurance Supplemental Plans; Title -- Independent Insurance Professional; Start - 8/2021; 2 Hrs/Mth; 0 During Securities Trading Hrs; Provide Options For Supplemental Medicare Insurance Coverage 3) Fixed Insurance; Investment Related; 73575 El Paseo, Ste 2300 Palm Desert, CA 92260; Fixed/Traditional Insurance; Title - Agent; Start - 06/2021; 4 Hrs/Mth; 4 Hrs During Securities Trading; Sales of Fixed/Traditional Products 4) Core Income; Investment Related; 5940 Golden Hills Dr. Minneapolis, MN 55416; Insurance; Insurance Partner; 07/01/2021; 1 hr/mth; 1 hr during trading; Core Income helps find insurance solutions for clients. They shop the market to provide solutions to simple and complex insurance needs for our clients. 5) HOA Invest; Investment Related; 73575 El Paseo, Ste 2300 Palm Desert CA 92260; HOA Software; Advisor; 10/2023; 10 hrs/mo; 10 hrs during trading; California laws AB2912 and 1100 recently enacted for all HOAs in the state. HOA Invest provides a software solution for signed recommendations from treasurer/board members regarding the purchase of Tbills and CDs.
CRS (Client Relationship Summary) - RIA
Click below to view Christopher Raymond Rick'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®
CFP®
Start date: 2019
Experience
Current
June 7, 2021 - Present
KEYSTONE PRIVATE WEALTH
Office #1: 73575 El Paseo Suite 2300, Palm Desert, CA 92260RIA
CRD#: 301924
Palm Desert, CA
Current
June 18, 2021 - Present
PURSHE KAPLAN STERLING INVESTMENTS
Office #1: 73575 El Paseo Ste. 2300, Palm Desert, CA 92260BD
CRD#: 35747
Palm Desert, CA
Past
July 11, 2019 - March 1, 2021
PURSHE KAPLAN STERLING INVESTMENTS
BD
CRD#: 35747
PALM DESERT, CA
Past
September 19, 2018 - June 4, 2021
CYPRESS WEALTH SERVICES, LLC
RIA
CRD#: 288992
PALM DESERT, CA
Past
July 13, 2018 - October 9, 2018
FIDELITY PERSONAL AND WORKPLACE ADVISORS
RIA
CRD#: 288590
BOSTON, MA
Past
November 3, 2011 - July 13, 2018
STRATEGIC ADVISERS LLC
RIA
CRD#: 104555
PALM DESERT, CA
Past
October 3, 2011 - September 18, 2018
FIDELITY BROKERAGE SERVICES LLC
BD
CRD#: 7784
PALM DESERT, CA
Past
November 2, 2010 - September 2, 2011
MORGAN STANLEY
RIA
CRD#: 149777
INDIAN WELLS, CA
Past
September 2, 2010 - September 2, 2011
MORGAN STANLEY
BD
CRD#: 149777
INDIAN WELLS, CA
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".
KP
KEYSTONE PRIVATE WEALTH
CYPRESS PRIVATE WEALTH | KEYSTONE WEALTH SERVICES, LLC | KEYSTONE PRIVATE WEALTH
CRD#: 301924 / SEC#: 801-121495
RIA
Registered Investment Advisory firm - (6/22/2021 Approved)California
Registered Investment Advisory firm - (7/25/2021 Terminated)Texas
Registered Investment Advisory firm - (6/25/2021 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.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
IAR
California(6/7/2021)
RR
California(6/18/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KEYSTONE PRIVATE WEALTH
CYPRESS PRIVATE WEALTH | KEYSTONE WEALTH SERVICES, LLC | KEYSTONE PRIVATE WEALTH
CRD#: 301924 / SEC#: 801-121495
RIA
Registered Investment Advisory firm - (6/22/2021 Approved)California
Registered Investment Advisory firm - (7/25/2021 Terminated)Texas
Registered Investment Advisory firm - (6/25/2021 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
73575 El Paseo Suite 2300, Palm Desert, CA 92260
Mailing Address
Phone number
(760) 818-7020
Established
Firm type
Fiscal year end
# of Employees
11
SEC notice filing (15 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,308 |
| AUM (Assets Under Management) | $ 692,123,348 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
