Timothy Rich, financial advisor Oakland CA
96 score

Timothy Rich

CRD Number: 2987129
Current Firm: Securities America Advisors, Inc.

Timothy Rich (CRD# 2987129) is an Investment Advisor Representative working at Securities America Advisors, Inc. in Oakland, CA and has over 18 years of experience in the finance industry. Timothy Rich 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
Arbor Point Advisors Oakland, CA Oct 2015 - Current 1
Securities America Inc. Oakland, CA Oct 2015 - Current 1
Securities America Advisors Oakland, CA Oct 2015 - Current 1
Financial West Group Westlake Village, CA Jul 2011 - Oct 2015 4
Portfolio Resources Group, Inc. Miami, FL Mar 2008 - Jul 2011 3
Financial West Group Concord, CA May 1999 - Mar 2008 8
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jan 1998
S66 NASAA Uniform Combined State Law Examination Apr 2008
Contact Info for Timothy J. Rich
Phone Number: 402-399-9111
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    13,433
    MILLIONS
  • Total Number of Accounts
    92,356
    ACCOUNTS
  • Average Account Value
    $145,443
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • 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)
  • Publication of periodicals or newsletters
  • Educational seminars/workshops
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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

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