Richard SasoCRD Number: 1396228
Current Firm: Caldwell Sutter Capital, Inc.
Richard Saso (CRD# 1396228) is an Investment Advisor Representative working at Caldwell Sutter Capital, Inc. in San Ramon, CA and has over 29 years of experience in the finance industry.
Skyoak Wealth Management, Inc.
Blossom Wealth Management, LLC
Parker Investment Management, LLC
|Caldwell Securities, Inc.||Sausalito, CA||Jun 2010 - Current||7|
|Richard A. Saso & Associates-investment Securities||San Ramon, CA||Oct 1987 - Jun 2010||22|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Jul 1988|
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:
- Criminal Record
Total Assets Under Management174MILLIONS
Total Number of Accounts462ACCOUNTS
Average Account Value$377,232
- 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
AZ, CA, CO, IL, MI, NV, NY, OR, PA, TX, VT