DR
DR
Donald Rich
54 Years of Experience
Fairfield, CT
2 DisclosuresBroker
Donald Rich is a registered investment advisor at Wells Fargo Advisors, based in Fairfield, CT, with 54 years of industry experience. Their practice areas include Retirement Planning. Their firm serves 401,726 clients with $200B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
3710 advisors
IM Fee
Planning only
Assets Under Management
$197.4B
Fee Structure
Investment management only (planning not offered)
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Loading...
Location
1300 Post Rd, Ste 203, Fairfield, CT, 06824
Get directionsHistory
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
October 2002Denied
Customer Dispute
July 1987Settled
Other Business Activities
Donald is a trustee for his mother-in-law and owns Donald Rich LLC and Rich McManus & Goett Group LLC. Each of these activities requires minimal time and is investment-related.
Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLCBroker
November 2023 - Present · 2 yrs 6 mos
Wells Fargo Advisors
November 2023 - Present · 2 yrs 6 mos
Previous Registrations
Wells Fargo Clearing Services, LLC
October 2013 - November 2023 · 10 yrs 1 mo
Wells Fargo Clearing Services, LLCBroker
October 2013 - November 2023 · 10 yrs 1 mo
Morgan StanleyBroker
June 2009 - October 2013 · 4 yrs 4 mos
Morgan Stanley
June 2009 - October 2013 · 4 yrs 4 mos
Citigroup Global Markets INC.
June 2004 - June 2009 · 5 yrs
Citigroup Global Markets INC.Broker
June 2004 - June 2009 · 5 yrs
UBS Financial Services INC.
September 1991 - July 2004 · 12 yrs 10 mos
UBS Financial Services INC.Broker
March 1990 - July 2004 · 14 yrs 4 mos
Shearson Lehman Hutton INC.Broker
February 1988 - March 1990 · 2 yrs 1 mo
E. F. Hutton & Company INCBroker
April 1972 - February 1988 · 15 yrs 10 mos
Hayden Stone INC.Broker
January 1972 - May 1972 · 4 mos
State Registrations25 states
AZCACOCTDCDEFLILMAMDMEMNNCNHNJNMNYORPARISCTXVAVTWA
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.