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Richard Umbarger
27 Years of Experience
Huntington Beach, CA
1 DisclosureBroker
Richard Umbarger is a registered investment advisor at Raymond James & Associates, INC., based in Huntington Beach, CA, with 27 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
Huntington Beach, CA
Get directionsHistory
Regulatory History (1)
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Customer Dispute
December 2000Denied
Employment History
Current Registrations
Raymond James & Associates, INC.
October 2022 - Present · 3 yrs 7 mos
Raymond James & Associates, INC.
October 2022 - Present · 3 yrs 7 mos
Raymond James & Associates, INC.Broker
October 2022 - Present · 3 yrs 7 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
May 2009 - November 2022 · 13 yrs 6 mos
Wells Fargo Clearing Services, LLCBroker
May 2009 - November 2022 · 13 yrs 6 mos
Citigroup Global Markets INC.
January 1999 - May 2009 · 10 yrs 4 mos
Citigroup Global Markets INC.Broker
December 1998 - May 2009 · 10 yrs 5 mos
State Registrations27 states
AZCACODCDEFLGAHIIDINKYMAMIMONCNJNMNVNYOHORSCTNTXUTVAWA
AdvisorBrokerBoth
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.
Exams
No exam information available for this advisor.