Richard Sowell is a registered investment advisor, based in Plano, TX, with 37 years of industry experience.
Location
7900 Windrose Ave, Plano, TX, 75024
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Regulatory History
Clean regulatory record
No disclosures, customer disputes, or regulatory actions on file.
Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.
Learn about disclosures →Employment History
Current Registrations
Vanguard Advisers, INC.
September 2025 - Present · 8 mos
Vanguard Marketing CorporationBroker
September 2025 - Present · 8 mos
Vanguard Marketing Corporation
September 2025 - Present · 8 mos
Previous Registrations
Cetera Investment Advisers LLC
January 2014 - November 2024 · 10 yrs 10 mos
Cetera Investment Services LLCBroker
May 2013 - November 2024 · 11 yrs 6 mos
Cetera Investment Services LLC
May 2013 - January 2014 · 8 mos
Amegy Investments, INC.
November 2004 - February 2013 · 8 yrs 3 mos
Amegy Investments, INC.Broker
November 2004 - February 2013 · 8 yrs 3 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
July 1999 - October 2004 · 5 yrs 3 mos
Merrill Lynch Pierce Fenner & Smith INC.
July 1999 - October 2004 · 5 yrs 3 mos
Fidelity Brokerage Services, INC.Broker
May 1987 - August 1999 · 12 yrs 3 mos
State Registrations1 state
TX
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.