Richard Christopher Green

Caitlin John, LLC

21 Years of Experience

2 DisclosuresSells Insurance

View SEC Summary

Areas of Practice

Investment ManagementRetirement PlanningFinancial Planning & CoachingHigh Net Worth

Caitlin John, LLC

Compensation

Fee-Only (AUM)Fixed/Hourly

Firm Size

20 advisors

Number of Clients

733 clients

Average Client Portfolio

$250K average

Assets Under Management

$183.4M

Fee Structure

Minimum Investment:$250K

Location

Del Mar, CA

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History

Regulatory History (2)

What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.

Customer Dispute

July 2018

Settled

Customer Dispute

June 2018

Settled

View Full SEC Report How to Read Disclosures

Other Business ActivitiesSells Insurance

Richard is the CEO and co-owner of WMA Enterprises, an accounting firm, spending about 10-20% of his time on this activity. He also works as an independent insurance agent for Bastion Wealth Management, dedicating about 35-40% of his time to insurance product sales.

Employment History

Current Registrations

Caitlin John, LLC

May 2024 - Present · 1 yr 9 mos

Previous Registrations

Alpha Global Investments

January 2014 - October 2024 · 10 yrs 9 mos

Alpha Global Investments

November 2012 - December 2013 · 1 yr 1 mo

Amerivest Investment Management, LLC

April 2006 - October 2009 · 3 yrs 6 mos

TD Ameritrade, INC.

March 2005 - October 2009 · 4 yrs 7 mos

Wm Financial Services, INC.

July 2004 - March 2005 · 8 mos

A. G. Edwards & Sons, INC.

March 2001 - July 2004 · 3 yrs 4 mos

State Registrations1 state

Advisor

Exams

No exam information available for this advisor.