Michael E. Rich

WELLTH ADVISORY SERVICES

Albuquerque, NM

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CRD#: 5953006

Professional summary

Michael Edward Rich, who also goes by Michael E Rich, is a registered financial advisor currently at WELLTH ADVISORY SERVICES, LLC located in Albuquerque, New Mexico.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2011. Michael has worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Michael E Rich

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.

Business Name: White Oak Advisors Investment Related: Yes Address: 8888 Keystone Crossing STE 640 Indianapolis IN 46240 Nature of Business: Consulting Position, Title or Relationship: Investment Analyst, employee Start Date: 10/1/2014 Hours per month: 91% - 100% (145 - 160 hours) Hours per month during trading hours: 81% - 90% (113 - 126 hours) Duties: oversee the investment due diligence process - evaluate fund strategies and overall plan lineup design

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Edward Rich'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®

None

Experience

Current

June 28, 2024 - Present

WELLTH ADVISORY SERVICES, LLC

RIA

CRD#: 330537

Albuquerque, NM

Past

April 1, 2019 - July 10, 2024

GLOBAL RETIREMENT PARTNERS LLC

RIA

CRD#: 172011

Indianapolis, IN

Past

April 18, 2016 - April 1, 2019

KESTRA ADVISORY SERVICES, LLC

RIA

CRD#: 283330

Indianapolis, IN

Past

January 28, 2015 - September 22, 2016

KESTRA INVESTMENT SERVICES, LLC

RIA

CRD#: 42046

Carmel, IN

Past

January 27, 2015 - April 1, 2019

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Carmel, IN

Past

July 30, 2014 - September 17, 2014

KESTRA INVESTMENT SERVICES, LLC

CRD#: 42046

Aliso Viejo, CA

Past

December 17, 2012 - September 17, 2014

WEALTHSPIRE RETIREMENT ADVISORY

RIA

CRD#: 121254

ALISO VIEJO, CA

Past

September 29, 2011 - July 23, 2014

FINANCIAL TELESIS INC

CRD#: 31012

ALISO VIEJO, 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".

WELLTH ADVISORY SERVICES, LLC

STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC

CRD#: 330537 / SEC#: 801-130037

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

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

Indiana
(6/28/2024)

IAR

New Mexico
(7/1/2024)

IAR

Ohio
(6/28/2024)

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: 12/14/2012

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 11/9/2011

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/28/2011

General Securities Representative Examination

Current Firm

WELLTH ADVISORY SERVICES, LLC

STRATEGIC RETIREMENT PARTNERS (SRP) | WELLTH ADVISORY SERVICES, LLC

CRD#: 330537 / SEC#: 801-130037

RIA

Registered Investment Advisory firm - (4/26/2024 Approved)

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Contact information

Main Address

Shorewood, IL

Mailing Address

Phone number

(866) 777-4015

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (44 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WELLTH ADV WRAP BROCHURE (3/31/2025)

WELLTH ADV PART 2A (3/31/2025)

Regulatory assets under management

Total Number of Accounts	2,338
AUM (Assets Under Management)	$ 23,574,040,155

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.

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Firm Stability Insights

Michael E. Rich

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Edward Rich's CRS (Customer Relationship Summary).

Certified licenses

Experience

GLOBAL RETIREMENT PARTNERS LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

WEALTHSPIRE RETIREMENT ADVISORY

FINANCIAL TELESIS INC

Primary Firm SEC Registration

WELLTH ADVISORY SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 65

Date: 12/14/2012

Series 63

Date: 11/9/2011

SIE

Date: 10/1/2018

Series 7

Date: 9/28/2011

Current Firm

WELLTH ADVISORY SERVICES, LLC

Contact information

SEC notice filing (44 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WELLTH ADVISORY SERVICES, LLC

TRUST BUT VERIFY

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