Richard Spraker
Richard Spraker is a registered investment advisor at Wells Fargo Advisors, based in Newport Beach, CA, with 47 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Retirement Planning. Their firm serves 466,575 clients with $250B in assets under management.
Compensation
Firm Size
IM Fee
Assets Under Management
Fee Structure
Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.
Location
450 Newport Center Dr, Suite 595 5th Fl, Newport Beach, CA, 92660
Get directionsHistory
Regulatory History (2)
Customer Dispute
December 2014Customer Dispute
March 1991Other Business Activities
Richard serves as a trustee for a family trust, a role he has held since 1930. This activity is investment-related and requires minimal time.
Employment History
Current Registrations
Wells Fargo Advisors Financial Network, LLC
Wells Fargo Advisors
Wells Fargo Advisors Financial Network, LLCBroker
Previous Registrations
Wells Fargo Clearing Services, LLCBroker
Wells Fargo Advisors
Prudential Securities Incorporated
Prudential Securities IncorporatedBroker
Everen Securities, INC.Broker
Bateman Eichler, Hill Richards, IncorporatedBroker
Shearson, Hammill & CO., IncorporatedBroker
State Registrations22 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.
Exams
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