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Richard Roeser
14 Years of Experience
Beverly Hills, CA
2 DisclosuresBroker
Richard Roeser is a registered investment advisor at Raymond James & Associates, INC., based in Beverly Hills, CA, with 14 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
9595 Wilshire Blvd., SUITE 801 and 200, Beverly Hills, CA, 90212
Get directionsHistory
Regulatory History (2)
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Financial
October 2016Final
Financial
July 2016Final
Employment History
Current Registrations
Raymond James & Associates, INC.
October 2023 - Present · 2 yrs 9 mos
Raymond James & Associates, INC.Broker
October 2023 - Present · 2 yrs 9 mos
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith Incorporated
August 2019 - October 2023 · 4 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 2019 - October 2023 · 4 yrs 4 mos
Waypoint Direct Investments, LLCBroker
June 2018 - February 2019 · 8 mos
Tsc Distributors, LLCBroker
May 2013 - December 2016 · 3 yrs 7 mos
M Holdings Securities, INC.
August 2012 - September 2012 · 1 mo
M Holdings Securities, INC.Broker
August 2012 - September 2012 · 1 mo
Morgan Stanley
July 2010 - October 2012 · 2 yrs 3 mos
Morgan StanleyBroker
June 2010 - October 2012 · 2 yrs 4 mos
Morgan Stanley Smith Barney LLC
June 2009 - May 2010 · 11 mos
Morgan Stanley Smith BarneyBroker
June 2009 - May 2010 · 11 mos
Morgan Stanley & CO. Incorporated
November 2008 - June 2009 · 7 mos
Morgan Stanley & CO. IncorporatedBroker
September 2008 - June 2009 · 9 mos
State Registrations4 states
CANVPATX
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.