Richard Norkin is a registered investment advisor, based in Thousand Oaks, CA, with 30 years of industry experience.
Location
3323 Old Conejo Rd., Thousand Oaks, CA, 91320
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Regulatory History
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 →Other Business ActivitiesSells Insurance
Richard is a sole proprietor selling and servicing insurance policies, dedicating minimal time to this activity. He also works full-time as an investment advisor representative (IAR) and registered representative, and manages rental property in his minimal spare time.
Employment History
Current Registrations
Kestra Advisory Services, LLC
Kestra Investment Services, LLCBroker
Kestra Investment Services, LLC
Previous Registrations
Osaic Wealth, INC.
Osaic Wealth, INC.Broker
Sagepoint Financial, INC.Broker
Sagepoint Financial, INC.
Western International Securities
Western International Securities, INC.Broker
Financial West Group
Financial West GroupBroker
Investment Advisors
Proequities, INC.Broker
Financial Network Investment CorporationBroker
Proequities, INC.Broker
State Registrations8 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.