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Registry Member Since 2009

Richard Farkas

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Paladin Quality Rating: 5 Stars

My Philosophy My Disclosures

About Me

Type of Organization
  • Sole Practitioner
Name of RIA
  • Did Not Answer
Relationship to RIA
  • Independent Contractor
Broker/Dealer Name
  • Raymond James Financial Services, Inc
Years of Experience
  • 15 Years
Certifications & Designations
College Degrees
  • Bachelors- Bus Admin
Association Memberships
  • MTA SF chapter
Registrations & Licenses
  • RIA/IAR Registration
  • Securities License(s)
  • Insurance License(s)
CRD Number
IARD Number
Insurance Number
  • None
State Licenses (Investments)
State Licenses (Insurance)
View ADV
  • Available Upon Request
Compliance Disclosures
  • None
Criminal Disclosures
  • None
Financial Fiduciary
  • Yes
Second Language(s)
  • None
Social Connections

About My Business

Location
  • 1901 S. Bascom Ave
    #1550
    Campbell, California, 95008
Telephone
  • 408.371.0500
Website
Number of Clients - Personal Data
  • Available Upon Request
Amount of Assets - Personal Data
  • Available Upon Request
Minimum Asset Requirement
  • $100,000
Types of Fees
  • Hourly Fee
  • Fixed Fee
  • Asset-Based Fee
Types of Commission
  • Insurance Products
Advice & Services for Fees
  • Planning
  • Investment
  • Insurance
Types of Clients
  • Individuals
  • Pension Plans
  • Businesses
Limited Engagement Services
  • Planning Only (Do not require assets)
  • Financial Plan Reviews
  • Investment Portfolio Reviews
Investment Decision-Making
  • Yes
Primary Custodian(s)
  • Raymond James Financial Services
Types of Reports (Frequency)
  • Performance (Quarterly)
  • Brokerage Statement (Monthly)
  • Market Environment (Quarterly)
  • Newsletters (Monthly)

I certify the information in this research report is accurate and current.

Advisor Name: Richard Farkas
Most Recent Update: Jun 30, 2014

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