Richard I. Alpert

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CRD#: 849200

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 Ira Alpert was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 5 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

October 31, 2017 - December 31, 2019

WIDMANN FINANCIAL SERVICES

RIA

CRD#: 289106

Gaithersburg, MD

Past

August 14, 1995 - May 1, 2019

COMMONWEALTH FINANCIAL NETWORK

RIA

CRD#: 8032

BOWIE, MD

Past

April 17, 1995 - May 1, 2019

COMMONWEALTH FINANCIAL NETWORK

CRD#: 8032

BOWIE, MD

Past

November 19, 1981 - April 19, 1995

RAYMOND JAMES FINANCIAL SERVICES, INC.

CRD#: 6694

ST. PETERSBURG, FL

Past

September 26, 1978 - November 27, 1981

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

Past

March 1, 1978 - September 26, 1978

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

CRD#: 572

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".

WIDMANN FINANCIAL SERVICES

WIDMANN FINANCIAL SERVICES | WIDMANN FINANCIAL SERVICES, INC.

CRD#: 289106 / SEC#: 801-111962

RIA

Registered Investment Advisory firm - (10/29/2017 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

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: 7/3/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/14/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 5

Date: 10/20/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 2/18/1978

General Securities Representative Examination

Current Firm

WIDMANN FINANCIAL SERVICES

WIDMANN FINANCIAL SERVICES | WIDMANN FINANCIAL SERVICES, INC.

CRD#: 289106 / SEC#: 801-111962

RIA

Registered Investment Advisory firm - (10/29/2017 Approved)

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Contact information

Main Address

4321 Northview Drive, Bowie, MD 20716

Mailing Address

Phone number

(301) 262-2919

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

WFS FORM ADV PART 2A BROCHURE 2025 (3/21/2025)

Regulatory assets under management

Total Number of Accounts	1,020
AUM (Assets Under Management)	$ 385,739,250

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

Richard I. Alpert

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

COMMONWEALTH FINANCIAL NETWORK

COMMONWEALTH FINANCIAL NETWORK

RAYMOND JAMES FINANCIAL SERVICES, INC.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.

Primary Firm SEC Registration

WIDMANN FINANCIAL SERVICES

State Registrations and Notice Filings

Exams

Series 65

Date: 7/3/1995

Series 63

Date: 6/14/1988

SIE

Date: 10/1/2018

Series 5

Date: 10/20/1981

Series 7

Date: 2/18/1978

Current Firm

WIDMANN FINANCIAL SERVICES

Contact information

SEC notice filing (8 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

WIDMANN FINANCIAL SERVICES

TRUST BUT VERIFY

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