Richard Saso, financial advisor San Ramon CA
73 score

Richard Saso

CRD Number: 1396228
Current Firm: Caldwell Securities, Incorporated

Richard Saso (CRD# 1396228) is an Investment Advisor Representative working at Caldwell Securities, Incorporated in San Ramon, CA and has over 28 years of experience in the finance industry.

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Company Name Location Dates Years
Caldwell Securities, Inc. Sausalito, CA Jun 2010 - Current 6
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
Disclosure Information

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
Get Details on the FINRA Advisor Check site
Contact Info for Richard A. Saso
Phone Number: 415-962-2526
Firm Website: http://www.cald.com/
Registered State(s):
  • CA
By the Numbers
  • Total Assets Under Management
    138
    MILLIONS
  • Total Number of Accounts
    634
    ACCOUNTS
  • Average Account Value
    $217,657
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
  • Commissions
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States

AZ, CA, CO, IL, MI, NV, NY, OR, PA, TX

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BADGES
73

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