Richard W. Seel
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Warren Seel JR was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1975. Richard had worked at 13 firms and has passed the Series 63, SIE, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 29, 2007 - August 17, 2017
NPB FINANCIAL GROUP, LLC
January 29, 2007 - August 17, 2017
NPB FINANCIAL GROUP, LLC
February 24, 2006 - January 30, 2023
WRIGHT FINANCIAL, LLC
January 10, 2000 - February 27, 2007
ASSOCIATED PLANNERS INVESTMENT ADVISORY INC
October 2, 1998 - February 12, 2007
ASSOCIATED SECURITIES CORP.
April 14, 1998 - October 12, 1998
FOOTHILL SECURITIES, INC.
October 9, 1996 - April 16, 1998
SECURITIES AMERICA, INC.
April 25, 1984 - October 16, 1996
ASSOCIATED SECURITIES CORP.
August 3, 1979 - April 23, 1984
FINANCIAL PLANNERS EQUITY CORPORATION
January 10, 1979 - September 27, 1979
LEHMAN BROTHERS INC.
September 16, 1977 - January 29, 1979
PRUDENTIAL EQUITY GROUP, LLC
August 27, 1976 - September 16, 1977
BACHE HALSEY STUART INC.
February 27, 1976 - August 27, 1976
BACHE & CO INCORPORATED
January 23, 1976 - February 27, 1976
BACHE & CO., INCORPORATED
August 26, 1975 - November 28, 1975
WORLD CAPITAL BROKERAGE, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 1
Date: 8/23/1975
Registered Representative ExaminationCurrent Firm
NPB FINANCIAL GROUP, LLC
CRD#: 137743 / SEC#: 801-65903, 8-67113
Contact information
FINRA licenses (1 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NAKAGIRI REV LIVING TRUST | MEMBER | |
| PASH, MARK STEVEN | MEMBER - MANAGER | 869880 |
| BRAZIEL, JAMES AUDY | MEMBER | 2321699 |
| BRAZIEL, JAMES HUBERT | MEMBER - MANAGER | 29443 |
| CHAN, FRANK STEWART | VICE-PRESIDENT/CHIEF MARKETING OFFICER | 2549010 |
| CHING, GARY KOON CHEONG | VICE-PRESIDENT / CFO/ACTING CCO | 1631264 |
| CORIA, SHIRLEY JAMIL | VICE-PRESIDENT AND CHIEF OPERATING OFFICER/ACTING CCO | 1111255 |
| MCFARLAND, RICHARD BENN JR | TRUSTEE | 1080626 |
| WRIGHT FINANCIAL, LLC | MEMBER | |
| MCFARLAND 1980 FAMILY TRUST | MEMBER | |
| NAKAGIRI, MARIA AGNES | TRUSTEE | 5723640 |
Regulatory assets under management
| Total Number of Accounts | 1,698 |
| AUM (Assets Under Management) | $ 248,794,176 |
Disclosures
| Regulatory Event | 2 |
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.
