Richard Farkas CMT, CMT, AAMS®

Campbell, California, 95008

Member Since 2009

My Location

Methods of Compensation
- Financial Planning: Asset-based fee, Hourly fee, Commissions (Insurance)
- Investment Services: Asset-based fee, Hourly fee
Full Disclosure
- I practice full disclosure for credentials, ethics, business practices, compensation, potential conflicts of interests, and financial services.
Primary Custodian(s)
- Raymond James Financial Services
Types of Financial Reports
- Performance Report (Quarterly)
- Market Environment Report (Monthly)
- Custodial Report (Monthly)
- Newsletter (Monthly)
- Other
Additional Business Practices
- I provide a written agreement to clients before I provide any advice or services.
- I work with remote clients over the telephone and Internet
- My clients have online access to their financial data
- I review my clients' financial plans with them quarterly
- I review my clients' investment portfolios with them quarterly

Registration & Licensing
- CRD/IARD Number: 2998692
- Securities Registrations: Series 65, Series 66, Series 63, Series 7, 9/10
- Insurance Licenses: Life, Annuity, Long-Term Care
Company Names
- Broker/Dealer: Raymond James Financial Services, Inc
Fiduciary Status
- Acknowledged Fiduciary in advisory relationships
Compliance Record
- No Disclosures
Criminal Record
- No Disclosures

Planning Services
- Financial Planning, Retirement, College Funding, Estate, Charitable, Tax, Hourly, business succession planning
Investment Services
- Strategy Development, Written investment policy, Asset allocation, Re-Balancing, Risk Management, Performance Reporting, Tax Efficient Strategies, Review Current Portfolios
Investment Products
- Mutual Funds, Securities, Commodities, Currencies, REITs
Insurance Products
- Life, Fixed Annuity, Variable Annuity, Long-Term Care

Visit Website - http://www.raymondjames.com/richardfarkas