AR
Anthony D. Rich
UNIVERSAL FINANCIAL ADVISORS
St. Louis, MO 63122
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CRD#: 6296842
AR
Professional summary
Anthony Dwayne Rich is a registered financial advisor currently at UNIVERSAL FINANCIAL ADVISORS, LLC located in St. Louis, Missouri and OSAIC WEALTH, INC. located in Saint Louis, Missouri.
Anthony is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2014. Anthony has worked at 7 firms and has passed the Series 66, SIE and Series 7 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) UFA, 333 South Kirkwood Road, Suite 301, Kirkwood, MO, IA, AS ADVISORY REP OF A RIA. INV REL-80 HR/MO-80/TRADING. 09/18/2024-IAR THAT MANAGES CLIENT ASSETS OR PREPARES FINANCIAL PLANS FOR A FEE. 2) MISSOURI AIR NATIONAL GUARD POSITION: Public Affairs Flight Commander NATURE: Missouri Air National Guard INVESTMENT RELATED: No NUMBER OF HOURS: 30 SECURITIES TRADING HOURS: 8 START DATE: 06/01/2012 ADDRESS: 1 Grant Rd, St. Louis MO 63125, United States DESCRIPTION: Public affairs flight commander for the 131st bomb wing. 3) ANTHONY DWAYNE RICH, LLC., Life Insurance Sales, 8690 MOLONEY CABIN RIDGE ROAD, BARNHART, MO, 09/27/2021, NIR, 8HR/MO, 0 HR/MO TRADING. 4) OSAIC WEALTH, INC.INVESTMENT-RELATED|ST. LOUIS, MO|BD|REGISTERED REPRESENTATIVE09/2024|0 HR/MO|0 HR/MO DURING SECURITIES TRADING HRS|NO DUTIES. 5) ST. JOSEPH SCHOOL POSITION: Board Member NATURE: Private Catholic School INVESTMENT RELATED: No NUMBER OF HOURS: 3 SECURITIES TRADING HOURS: 0 START DATE: 03/26/2025 ADDRESS: 6024 Old Antonia Rd, Imperial MO 63052, United States DESCRIPTION: Newly elected board member 6) ASHERSTONE CAPITAL POSITION: Operator NATURE: The DBA is a "marketing name" for clients who will be referred from a CPA. INVESTMENT RELATED: Yes NUMBER OF HOURS: 80 SECURITIES TRADING HOURS: 60 START DATE: 09/01/2025 ADDRESS: 333 South Kirkwood Road, Suite 301, Kirkwood MO 63012, United States DESCRIPTION: Financial Advisor
CRS (Client Relationship Summary) - RIA
Click below to view Anthony Dwayne Rich'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®
NoneExperience
Current
September 26, 2024 - Present
UNIVERSAL FINANCIAL ADVISORS, LLC
Office #1: 333 S. Kirkwood Road Suite 301, St. Louis, MO 63122RIA
CRD#: 318392
St. Louis, MO
Current
September 18, 2024 - Present
OSAIC WEALTH, INC.
Office #1: 333 S Kirkwood Rd Suite 301, Saint Louis, MO 63122RIA
BD
CRD#: 23131
SAINT LOUIS, MO
Past
August 16, 2021 - September 23, 2024
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Barnhart, MO
Past
August 16, 2021 - September 23, 2024
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Barnhart, MO
Past
June 18, 2018 - June 29, 2021
EDWARD JONES
RIA
CRD#: 250
ST. LOUIS, MO
Past
June 11, 2018 - June 29, 2021
EDWARD JONES
BD
CRD#: 250
ST. LOUIS, MO
Past
September 30, 2015 - June 18, 2018
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
RIA
CRD#: 134139
Kirkwood, MO
Past
September 30, 2015 - June 18, 2018
CAMBRIDGE INVESTMENT RESEARCH, INC.
BD
CRD#: 39543
Kirkwood, MO
Past
September 5, 2014 - December 31, 2015
UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.
RIA
CRD#: 116386
KIRKWOOD, MO
Past
August 29, 2014 - October 22, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
KIRKWOOD, MO
Past
May 6, 2014 - August 26, 2014
LPL FINANCIAL LLC
RIA
CRD#: 6413
KIRKWOOD, MO
Past
April 7, 2014 - October 13, 2015
LPL FINANCIAL LLC
BD
CRD#: 6413
KIRKWOOD, MO
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".
UF
UNIVERSAL FINANCIAL ADVISORS, LLC
UNIVERSAL FINANCIAL ADVISORS, LLC | UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.
CRD#: 318392 / SEC#: 801-124991
RIA
Registered Investment Advisory firm - (5/11/2022 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.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
RR
Illinois(4/24/2025)
RR
Missouri(9/18/2024)
IAR
Missouri(9/26/2024)
IAR
Texas(12/20/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
UF
UNIVERSAL FINANCIAL ADVISORS, LLC
UNIVERSAL FINANCIAL ADVISORS, LLC | UNIVERSAL FINANCIAL PLANNING CONSULTANTS, INC.
CRD#: 318392 / SEC#: 801-124991
RIA
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Contact information
Main Address
333 S. Kirkwood Road Suite 301, St. Louis, MO 63122
Mailing Address
Phone number
(314) 721-5522
Established
Firm type
Fiscal year end
# of Employees
6
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 647 |
| AUM (Assets Under Management) | $ 251,062,299 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
UNIVERSAL FINANCIAL ADVISORS, LLC
CRD#: 318392St. Louis, MO 63122TRUST BUT VERIFY
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