Richard Nakawatase, financial advisor City Of Industry CA
96 score

Richard Nakawatase

CRD Number: 1269395
Current Firm: Level Four Advisory Services

Richard Nakawatase (CRD# 1269395) is an Investment Advisor Representative working at Level Four Advisory Services in City Of Industry, CA and has over 26 years of experience in the finance industry. Richard Nakawatase has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.

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Professional Designations
Company Name Location Dates Years
Level Four Advisory Services City Of Industry, CA Mar 2016 - Current < 1
Lpl Financial, LLC City Of Industry, CA Mar 2016 - Current < 1
First Allied Advisory Services, Inc. Chesterfield, MO Jul 2012 - Mar 2016 3
First Allied Advisory Services, Inc. City Of Industry, CA Jul 2012 - Mar 2016 3
First Allied Securities Inc. City Of Industry, CA Oct 2007 - Mar 2016 8
Financial Network Investment Corporation Whittier, CA Jan 1986 - Nov 2007 21
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Sep 1990
Contact Info for Richard K. Nakawatase
Phone Number: 972-665-0878
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    1,313
    MILLIONS
  • Total Number of Accounts
    5,717
    ACCOUNTS
  • Average Account Value
    $229,697
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Pension consulting services
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States

AL, AR, AZ, CA, CO, FL, GA, IA, IL, IN, KY, LA, MI, MN, MO, MS, NC, ND, NE, NJ, NM, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, VA, WA, WI

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BADGES
96
Clean Record
This advisor has a clean track record with regulators.

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