AdvisorOS Directory
Claim Profile
Unclaimed Profile
NR

Neal Patrick Richard

ALLEGIANCE FINANCIAL GROUP, INC.·SOUTH PORTLAND, Maine
SIE, Series 6, Series 7, Series 27, Series 63, Series 65, Series 99TOClean record23 years registeredALLEGIANCE FINANCIAL GROUP, INC.
50 DONALD B. DEAN DRIVE, SOUTH PORTLAND, ME 04106CRD# 2229267Firm CRD# 113826

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Neal Patrick Richard · SOUTH PORTLAND, ME
Registration
CRD #2229267 · ALLEGIANCE FINANCIAL GROUP, INC. · 23 years registered
Brand Profile
Not yet started
01

Career History

RICHARD BROTHERS, FINANCIAL ADVISORS
Sep 2002 – present
02

Registrations & Exams

FINRA examinations passed
SIE
Series 6
Series 7
Series 27
Series 63
Series 65
Series 99TO
Registration record
First registered · September 27, 2002
Years registered · 23
03

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

04

Firm Overview

Firm
ALLEGIANCE FINANCIAL GROUP, INC.
CRD 113826 · SEC 801-122718
AUM
$130M
Regulatory assets under management
Employees
10
433 client accounts
Services offered by ALLEGIANCE FINANCIAL GROUP, INC.
Per Form ADV
Financial planning
Portfolio management (individuals)
Selection of other advisers
Publication of periodicals/newsletters
Security ratings or pricing services
Other
Client types served by the firm
Per Form ADV
Individuals
High Net Worth Individuals
View all advisors at ALLEGIANCE FINANCIAL GROUP, INC. →
Introduction

Speak with Neal

No cost, no commitment — we'll confirm availability and reply within 2 business days.

Not sure if Neal is the right fit? Take our 2-minute quiz →

Looking for a financial advisor in SOUTH PORTLAND?

Browse all registered financial advisors in SOUTH PORTLAND, Maine or claim this profile if it's yours.

Browse SOUTH PORTLAND AdvisorsAre you this advisor? Claim profile
05

Frequently Asked Questions

What services does Neal Patrick Richard offer?
Neal Patrick Richard specializes in Financial Planning, Investment Management, Wealth Management. Contact their office in SOUTH PORTLAND, Maine for a consultation.
What are Neal Patrick Richard's credentials?
Neal Patrick Richard is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Neal Patrick Richard located?
Neal Patrick Richard is based in SOUTH PORTLAND, Maine, working with ALLEGIANCE FINANCIAL GROUP, INC.. Their office serves clients in the SOUTH PORTLAND metropolitan area and surrounding communities.
How does Neal Patrick Richard charge for services?
Neal Patrick Richard's firm is compensated through percentage of aum, hourly charges, subscription fees, other: % of assets under advisement. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is ALLEGIANCE FINANCIAL GROUP, INC.?
ALLEGIANCE FINANCIAL GROUP, INC. has approximately 10 employees and manages $130M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
Not sure what to look for in an advisor?
Try our free Advisor Match Quiz →

Other Advisors at ALLEGIANCE FINANCIAL GROUP, INC.

Randall Jon Richard
SOUTH PORTLAND, ME

More Advisors in SOUTH PORTLAND, Maine

David Michael Smith
ROBINSON SMITH WEALTH ADVISORS, LLC·SOUTH PORTLAND, ME
Clifford Patrick Ryan
ELDER PLANNING ADVISORS OF MAINE, INC.·SOUTH PORTLAND, ME
Tracey Meyers Daigle
ROBINSON SMITH WEALTH ADVISORS, LLC·SOUTH PORTLAND, ME

Browse by Specialty

Investment ManagementRetirement PlanningWealth ManagementFinancial PlanningFee-Only AdvisoryFinancial Education
Nearby cities in Maine
PORTLAND (79)BANGOR (18)FALMOUTH (6)BAR HARBOR (5)BRUNSWICK (5)WATERVILLE (3)CAPE ELIZABETH (2)ELLSWORTH (2)AUGUSTA (2)BREWER (2)
City Guides
PORTLAND GuideBANGOR GuideFALMOUTH GuideBAR HARBOR GuideBRUNSWICK Guide
Research
Advisor Fees in MaineNational Fee Analysis
Request removal of this profile