Richard J. Fichtel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard John Fichtel was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2012. Richard had worked at 2 firms .
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2016 - July 6, 2017
MODERA WEALTH MANAGEMENT, LLC
December 3, 2013 - July 20, 2016
GRAF FINANCIAL ADVISORS, LLC
November 8, 2012 - February 19, 2013
GRAF FINANCIAL ADVISORS, LLC
Primary Firm SEC Registration
MODERA WEALTH MANAGEMENT, LLC
CRD#: 155649 / SEC#: 801-71973
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
MODERA WEALTH MANAGEMENT, LLC
CRD#: 155649 / SEC#: 801-71973
Contact information
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 20,833 |
| AUM (Assets Under Management) | $ 15,510,482,152 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/20/2024 | ||
| 01/26/2024 | ||
| 01/25/2023 |
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.
