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Christopher Raymond Rick

Christopher R. Rick

KEYSTONE PRIVATE WEALTH
Palm Desert, CA 92260
Some features on this profile are disabled
CRD#: 5828957
Christopher Raymond Rick

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Christopher Raymond Rick'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®
CFP®

Certified Financial Planner

Start date: 2019

Experience

Current

June 7, 2021 - Present

KEYSTONE PRIVATE WEALTH

Office #1: 73575 El Paseo Suite 2300, Palm Desert, CA 92260
RIA
CRD#: 301924
Palm Desert, CA
Current

June 18, 2021 - Present

PURSHE KAPLAN STERLING INVESTMENTS

Office #1: 73575 El Paseo Ste. 2300, Palm Desert, CA 92260
BD
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
RR
IAR
Series 66
Date: 11/1/2010
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 9/18/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 9/1/2010
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/7/2016
General Securities Sales Supervisor - Options Module Examination
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)
PREMIUM
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Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

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 (16 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (2/9/2026)

Regulatory assets under management

Total Number of Accounts1,542
AUM (Assets Under Management)$ 860,654,038

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.

Company Information

KEYSTONE PRIVATE WEALTH

CRD#: 301924Palm Desert, CA 92260

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