Richard OelzeCRD Number: 1798703
Current Firm: First Allied Advisory Services, Inc.
Richard Oelze (CRD# 1798703) is an Investment Advisor Representative working at First Allied Advisory Services, Inc. in Phoenix, AZ and has over 29 years of experience in the finance industry.
Householder Group Estate & Retirement Specialists
Woodbury Financial Services, Inc.
Triad Advisors, Inc.
|Bhf Rg Capital Inc. Dba Rg Capital||Phoenix, AZ||Apr 2015 - Current||2|
|First Allied Securites, Inc.||San Diego, CA||Jun 2014 - Current||3|
|First Allied Advisory Services, Inc.||San Diego, CA||Jun 2014 - Current||3|
|Rg Capital Investment Advisory Services, LLC||Scottsdale, AZ||Mar 2009 - Oct 2015||6|
|Capital Investment Group, Inc.||Raleigh, NC||Nov 2010 - Jun 2014||3|
|Sagepoint Financial, Inc.||Phoenix, AZ||Apr 2009 - Nov 2010||1|
|Aig Financial Advisors, Inc.||Scottsdale, AZ||Apr 2008 - Apr 2009||1|
|U. S. Bancorp Piper Jaffray Inc.||Phoenix, AZ||Mar 1999 - Apr 2008||9|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1988|
|S66||NASAA Uniform Combined State Law Examination||Aug 2002|
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:
- Regulatory Event
- Judgments / Liens
Total Assets Under Management4,440MILLIONS
Total Number of Accounts26,339ACCOUNTS
Average Account Value$168,585
- 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 businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
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, VT, WA, WI, WV