Richard L. Neubert
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 Lee Neubert, who also goes by Rick Neubert, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1977. Richard had worked at 17 firms and has passed the Series 66, Series 63, Series 7, Series 1, Series 8 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 14, 2014 - August 15, 2014
T. ROWE PRICE ADVISORY SERVICES, INC.
May 13, 2014 - August 15, 2014
T. ROWE PRICE INVESTMENT SERVICES, INC.
April 1, 2013 - July 10, 2013
USAA FINANCIAL PLANNING SERVICES
February 25, 2011 - April 3, 2013
USAA INVESTMENT SERVICES COMPANY
January 13, 2011 - July 10, 2013
USAA FINANCIAL ADVISORS, INC.
January 3, 1989 - April 21, 1997
CHARLES SCHWAB & CO., INC.
August 5, 1988 - December 19, 1988
INVESTACORP, INC.
September 15, 1987 - August 12, 1988
AMERIPRISE ADVISOR SERVICES, INC.
September 2, 1986 - October 9, 1987
FIRST UNION CAPITAL MARKETS CORP.
August 8, 1985 - September 3, 1986
FERRIS, BAKER WATTS, LLC
April 16, 1984 - August 19, 1985
WESTPORT FINANCIAL GROUP, INC.
January 13, 1984 - May 3, 1984
CLAYTON BROKERAGE CO. OF ST. LOUIS, INC.
April 14, 1982 - September 19, 1983
ANDERSON & STRUDWICK, INCORPORATED
January 2, 1982 - May 17, 1982
KIDDER, PEABODY & CO. INCORPORATED
April 16, 1980 - November 16, 1981
PRUDENTIAL EQUITY GROUP, LLC
July 24, 1979 - November 22, 1982
LAIDLAW, MARTIN & MOYSEY, INC.
November 1, 1977 - May 29, 1980
INDUSTRY SAVINGS PLANS, INC.
Primary Firm SEC Registration
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
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: 10/25/1977
Registered Representative ExaminationSeries 8
Date: 4/23/1992
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
T. ROWE PRICE ADVISORY SERVICES, INC.
CRD#: 108958 / SEC#: 801-58098
Contact information
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 10,014 |
| AUM (Assets Under Management) | $ 3,861,357,894 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 07/28/2025 | ||
| 01/27/2025 | ||
| 10/27/2023 | ||
| 01/27/2023 |
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.
