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NEIL ALLEN RICHARDS
NEIL A RICHARDS, NEIL RICHARDS
CRD#: 6252319
IA
Investment Adviser
B
Broker
OSAIC WEALTH, INC.CRD#: 23131 8880 CAL CENTER DRIVE
SUITE 220
SACRAMENTO, CA 95826-3229
Registration History
201320142015201620172018201920202021202220232024202520262 FIRMS2019 - 2025 (5 years)2 FIRMS2025 - Present (<1 year)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2016 - 2019 (2 years)BJ.P. MORGAN SECURITIES LLC (CRD# 79)2014 - 2016 (2 years)BWELLS FARGO ADVISORS, LLC (CRD# 19616)2013 - 2014 (<1 year)
License(s)

State Registrations

B
Arizona 1/24/2025

B
Nevada 1/24/2025

B
California 1/24/2025

B
Oregon 1/24/2025

IA
California 1/24/2025

B
South Carolina 1/24/2025

B
Colorado 1/24/2025

B
Texas 1/24/2025

B
Idaho 1/24/2025

IA
Texas 1/24/2025

SRO Registrations

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
OSAIC WEALTH, INC. (CRD#:23131)
8880 CAL CENTER DRIVE SUITE 220, SACRAMENTO, CA 95826-3229
Registered with this firm since 1/24/2025

B
OSAIC WEALTH, INC. (CRD#:23131)
8880 CAL CENTER DRIVE SUITE 220, SACRAMENTO, CA 95826-3229
Registered with this firm since 1/24/2025

Previous Registration(s)
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IA
07/22/2019 - 01/24/2025 OSAIC FA, INC. (CRD#:3978) SACRAMENTO, CA
B
04/15/2019 - 01/24/2025 OSAIC FA, INC. (CRD#:3978) SACRAMENTO, CA
B
10/31/2016 - 04/18/2019 WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616) SACRAMENTO, CA
B
10/21/2014 - 10/14/2016 J.P. MORGAN SECURITIES LLC (CRD#:79) ELK GROVE, CA
B
11/02/2013 - 09/04/2014 WELLS FARGO ADVISORS, LLC (CRD#:19616) SAN DIEGO, CA
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.