Richard Pratt, financial advisor Palm Springs CA
93 score

Richard Pratt

CRD Number: 1162464
Current Firm: Robert W. Baird & Company Incorporated

Richard Pratt (CRD# 1162464) is an Investment Advisor Representative working at Robert W. Baird & Company Incorporated in Palm Springs, CA and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Robert W. Baird & Company Incorporated Seattle, WA Nov 2014 - Current 2
Mcadams Wright Ragen Seattle, WA Nov 2010 - Nov 2014 4
Wells Fargo Bank San Francisco, CA Mar 2000 - Nov 2010 10
Ragen Mackenzie Incorporated Seattle, WA Aug 1985 - Nov 2010 25
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Jul 1983
Contact Info for Richard H. Pratt
Phone Number: 414-765-3500
Registered State(s):
  • CA
  • WA
By the Numbers
  • Total Assets Under Management
    83,910
    MILLIONS
  • Total Number of Accounts
    90,406
    ACCOUNTS
  • Average Account Value
    $928,144
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
  • Performance-based fees
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for investment companies (as well as "business development companies")
  • 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)
  • Educational seminars/workshops
  • Other
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
93
Clean Record
This advisor has a clean track record with regulators.

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