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RL

Richard W. Lombard

WELLTH ADVISORY SERVICES
Lombard, IL
Some features on this profile are disabled
CRD#: 6005008
RL

Professional summary

Richard Westwood Lombard is a registered financial advisor currently at WELLTH ADVISORY SERVICES, LLC located in Lombard, Illinois.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2012. Richard has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.

top-8-questions

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.
LICENSED INSURANCE AGENT OFFERING LIFE AND FIXED ANNUITY SALES

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Westwood Lombard'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
Lombard, IL
Past

October 17, 2023 - July 5, 2024

GLOBAL RETIREMENT PARTNERS LLC

RIA
CRD#: 172011
Shorewood, IL
Past

January 5, 2021 - September 6, 2023

GOLDSTONE FINANCIAL GROUP, LLC

RIA
CRD#: 222520
OAKBROOK TERRACE, IL
Past

March 1, 2013 - May 3, 2019

LPL FINANCIAL LLC

RIA
CRD#: 6413
WHEATON, IL
Past

March 1, 2013 - May 3, 2019

LPL FINANCIAL LLC

BD
CRD#: 6413
WHEATON, IL
Past

October 1, 2012 - November 29, 2012

EDWARD JONES

RIA
CRD#: 250
ST. LOUIS, MO
Past

October 1, 2012 - November 29, 2012

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

March 12, 2012 - September 27, 2012

MORGAN STANLEY

RIA
CRD#: 149777
OAK BROOK, IL
Past

February 13, 2012 - September 27, 2012

MORGAN STANLEY

BD
CRD#: 149777
OAK BROOK, IL

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".
WA
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
Illinois
(6/28/2024)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 3/9/2012
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/10/2012
General Securities Representative Examination

Current Firm

WA
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
72

SEC notice filing (44 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

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

Regulatory assets under management

Total Number of Accounts2,338
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.

Company Information

WELLTH ADVISORY SERVICES, LLC

CRD#: 330537Lombard, IL

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