Richard Farkas

Credentials: CMT®, AAMS®

1901 S. Bascom Ave
#1550
Campbell, California, 95008
Telephone: 408.371.0500
Medium_3049_300120101357341
Registry Member Since 2009

Business Philosophy

The 21st century has dynamic market conditions and warrant a dynamic approach to portfolio construction and management. Individual financial planning, personalized risk assessment is key to developing a strategy and portfolio that will meet both your goals and your tolerance for risk.

1. What are your firm names?
  • Broker Dealer

    Raymond James Financial Services, Inc

  • Doing Business As

    Strategic Global Investment Services

2. How is your RIA registered?
  • SEC
3. What type of practice do you have?
  • Sole Practitioner
4. What is your relationship to your RIA?
  • Independent Contractor
5. What are your years of financial services experience?
  • 15 Years
6. Do you have one or more degrees from an accredited college or university?
School
Degree
Weber State
Bachelors- Bus Admin
7. Are you a current member of one or more financial service industry associations?
  • MTA SF chapter
8. What are your license and registration numbers?
9. What are your current registrations and licenses?
  • No Active Security Licenses
10. Do you acknowledge you are a fiduciary when you provide financial advice and services for fees?
  • Yes
11. In what states are you licensed or registered to sell investment services and products for fees or commissions?
  • Did Not Answer
12. In what states are you licensed to sell insurance products for commissions?
  • California
13. In the past five years, do you have any disclosures on your investment or insurance compliance records?
  • Investment Disclosures: No
  • Insurance Disclosures: No
14. Since you became an adult, do you have any criminal disclosures (misdemeanors/felonies)?
  • No
15. My ADV Part II is:
  • Available Upon Request
16. Do you have any additional disclosures?
  • Did Not Answer
  • 17. What are your methods of compensation?
    • Did Not Answer
    18. Will you work with clients over the telephone and Internet?
    • Did Not Answer
    19. What types of reports do you provide your clients and what is the frequency?
    • Performance (Quarterly)
    • Brokerage Statement (Monthly)
    • Market Environment (Quarterly)
    • Newsletters (Monthly)
    20. Will you meet with prospective clients at their locations?
    • Yes
    21. Do you make investment decisions for your clients without their approval in advance?
    • Did Not Answer
    22. Scope of Business: What is your current number of clients (not accounts)?
    • None
    23. Scope of Business: What are your current assets under management or advisement? (Compensation is fees)
    • None
    24. Do you have a minimum fee requirement?
    • $1,000
    25. Do you have a minimum asset requirement?
    • $100,000
    26. Do you speak any additional languages fluently?
    • None
    27. Do you provide any limited engagement services?
    • Planning Only (No investment services)
    • Financial Plan Reviews
    • Investment Portfolio Reviews
    28. Which categories of financial services do you provide for fees? Another professional (CPA, estate attorney) may provide one or more of these services.
    • Planning
    • Investment
    29. Do you sell investment or insurance products for commissions?
    • No
    30. What types of clients do you work with?
    • Individuals
    • Retirees
    31. Which custodian(s) take physical possession of your clients' assets? If applicable, name the top three in order of importance
    • Raymond James Financial Services

    Certification

    I certify all of the information in my professional profile is accurate and up-to-date.
    Advisor Name: Richard Farkas
    Most Recent Update: Jul 31, 2013