Richard GrohCRD Number: 1223682
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Richard Groh (CRD# 1223682) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Elk Grove, CA and has over 34 years of experience in the finance industry. Richard Groh 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.
Wells Fargo Advisors, LLC
Adams Ashby Financial Advisors
Three Oaks Capital Management
|Bank Of America, N.a.||Elk Grove, CA||Aug 2015 - Current||2|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||Elk Grove, CA||Aug 2015 - Current||2|
|Tiaa-cref Individual & Institutional Services, LLC||Palo Alto, CA||Sep 2012 - Jul 2015||2|
|Tiaa||Palo Alto, CA||Sep 2012 - Jul 2015||2|
|Chase Investment Services||Tiburon, CA||Feb 2011 - Sep 2012||1|
|Solar Depot||Petaluma, CA||Nov 2009 - Dec 2010||1|
|Unemployed||Novato, CA||Nov 2008 - Nov 2009||1|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||San Francisco, CA||Oct 1983 - Nov 2008||25|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jan 1984|
|S65||NASAA Investment Advisors Law Examination||Feb 2000|
|S66||NASAA Uniform Combined State Law Examination||Mar 2011|
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.Reported Disclosure Event:
- Financial Issue
- Customer Dispute
Total Assets Under Management575,342MILLIONS
Total Number of Accounts1,715,259ACCOUNTS
Average Account Value$335,425
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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