Richard J. Vertucci

SALIENT WEALTH PLANNING | Financial Advisor

San Diego, CA 92122

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CRD#: 6442611

Professional summary

Richard Joseph Vertucci JR, who also goes by Richard Joseph Vertucci, is a registered financial advisor currently at SALIENT WEALTH PLANNING located in San Diego, California.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2018. Richard has worked at 2 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

What are your service offerings?

Retirement Planning Strategies

Cash Flow Management Strategie...

Retirement Income Strategies

Are you a "fiduciary"?

Yes

Aliases

Richard Joseph Vertucci

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 Richard Joseph Vertucci JR'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

October 31, 2023 - Present

SALIENT WEALTH PLANNING

Office #1: 3655 Nobel Dr. Suite 510, San Diego, CA 92122

RIA

CRD#: 327885

San Diego, CA

Past

October 10, 2019 - November 7, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

RIA

CRD#: 6363

SAN DIEGO, CA

Past

April 23, 2018 - November 7, 2023

AMERIPRISE FINANCIAL SERVICES, LLC

CRD#: 6363

SAN DIEGO, 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".

SALIENT WEALTH PLANNING

SALIENT WEALTH PLANNING | SWP FINANCIAL LLC | SALIENT WEALTH PLANNING LLC

CRD#: 327885 / SEC#: 801-128911

RIA

Registered Investment Advisory firm - (10/31/2023 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

California
(10/31/2023)

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 66

Date: 5/4/2018

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/23/2018

General Securities Representative Examination

Current Firm

SALIENT WEALTH PLANNING

SALIENT WEALTH PLANNING | SWP FINANCIAL LLC | SALIENT WEALTH PLANNING LLC

CRD#: 327885 / SEC#: 801-128911

RIA

Registered Investment Advisory firm - (10/31/2023 Approved)

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Contact information

Main Address

3655 Nobel Dr. Suite 510, San Diego, CA 92122

Mailing Address

Phone number

(858) 768-0096

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (3 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A - FIRM BROCHURE (3/20/2025)

Regulatory assets under management

Total Number of Accounts	824
AUM (Assets Under Management)	$ 199,904,946

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.

Contact information

(xxx) xxx-xxxx

xxxxx@xxxx.xxx

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Richard J. Vertucci

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Joseph Vertucci JR's CRS (Customer Relationship Summary).

Certified licenses

Experience

SALIENT WEALTH PLANNING

AMERIPRISE FINANCIAL SERVICES, LLC

AMERIPRISE FINANCIAL SERVICES, LLC

Primary Firm SEC Registration

SALIENT WEALTH PLANNING

State Registrations and Notice Filings

Exams

Series 66

Date: 5/4/2018

SIE

Date: 10/1/2018

Series 7

Date: 4/23/2018

Current Firm

SALIENT WEALTH PLANNING

Contact information

SEC notice filing (3 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SALIENT WEALTH PLANNING

TRUST BUT VERIFY

Contact information

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