Rick L. Tasker

ROBERTSON STEPHENS

Santa Rosa, CA 95404

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CRD#: 728427

Professional summary

Rick Lane Tasker, AIF® is a registered financial advisor currently at ROBERTSON STEPHENS located in Santa Rosa, California.

Rick is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Rick has worked at 9 firms and has passed the Series 65, Series 63, Series 5 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rick Lane Tasker'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®

AIF^®

Accredited Investment Fiduciary

Experience

Current

October 6, 2021 - Present

ROBERTSON STEPHENS

Office #1: 2455 Bennett Valley Road, Suite B115, Santa Rosa, CA 95404

RIA

CRD#: 289977

Santa Rosa, CA

Past

December 21, 2017 - October 27, 2021

EPOCH CONSULTING GROUP

RIA

CRD#: 132757

SANTA ROSA, CA

Past

July 7, 1993 - September 24, 1993

SUNAMERICA SECURITIES, INC.

CRD#: 20068

Past

October 2, 1991 - June 29, 1993

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

Past

September 4, 1990 - October 3, 1991

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

Past

May 24, 1990 - September 4, 1990

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

CRD#: 76

Past

November 30, 1988 - May 17, 1990

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

CRD#: 14229

Past

January 27, 1984 - December 19, 1988

SUTRO & CO. INCORPORATED

CRD#: 801

Past

April 13, 1981 - December 27, 1983

MORGAN STANLEY DW INC.

CRD#: 7556

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".

ROBERTSON STEPHENS

ROBERTSON STEPHENS | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC

CRD#: 289977 / SEC#: 801-111814

RIA

Registered Investment Advisory firm - (10/11/2017 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
(10/6/2021)

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: 12/20/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 5/9/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 12/11/1982

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 4/11/1981

General Securities Representative Examination

Current Firm

ROBERTSON STEPHENS

ROBERTSON STEPHENS | ROBERTSON STEPHENS WEALTH MANAGEMENT, LLC

CRD#: 289977 / SEC#: 801-111814

RIA

Registered Investment Advisory firm - (10/11/2017 Approved)

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Contact information

Main Address

455 Market Street Ste. 1450, San Francisco, CA 94105-2442

Mailing Address

Phone number

(415) 500-6810

Established

Firm type

Fiscal year end

# of Employees

113

SEC notice filing (30 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ROBERTSON STEPHENS ADV PART 2A BROCHURE (6/30/2025)

Regulatory assets under management

Total Number of Accounts	7,419
AUM (Assets Under Management)	$ 7,139,384,497

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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Advisor Monitoring

Firm Stability Insights

Rick L. Tasker

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Rick Lane Tasker's CRS (Customer Relationship Summary).

Certified licenses

Experience

EPOCH CONSULTING GROUP

SUNAMERICA SECURITIES, INC.

RAYMOND JAMES FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

BATEMAN EICHLER, HILL RICHARDS, INCORPORATED

GREAT WESTERN FINANCIAL SECURITIES CORPORATION

SUTRO & CO. INCORPORATED

MORGAN STANLEY DW INC.

Primary Firm SEC Registration

ROBERTSON STEPHENS

State Registrations and Notice Filings

Exams

Series 65

Date: 12/20/2017

Series 63

Date: 5/9/1981

Series 5

Date: 12/11/1982

Series 7

Date: 4/11/1981

Current Firm

ROBERTSON STEPHENS

Contact information

SEC notice filing (30 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

ROBERTSON STEPHENS

TRUST BUT VERIFY

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