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Katherine Taaffe Richard

WARWICK INVESTMENT GROUP, LLC·OKLAHOMA CITY, Oklahoma
Clean recordWARWICK INVESTMENT GROUP, LLC
944 W WILSHIRE BLVD, OKLAHOMA CITY, OK 73116-4221CRD# 4834568Firm CRD# 226670

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed
Identity
Katherine Taaffe Richard · OKLAHOMA CITY, OK
Registration
CRD #4834568 · WARWICK INVESTMENT GROUP, LLC
Brand Profile
Not yet started
Disclosure history
Clean record · no disclosure events on file
01

About

Katherine Taaffe Richard is a registered financial advisor based in OKLAHOMA CITY, Oklahoma, affiliated with WARWICK INVESTMENT GROUP, LLC. This profile is generated from public SEC and FINRA registration data.

02

Focus Areas

Specialties
Retirement Planning
Client Types
Pension & Retirement Plans
Introduction

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03

Firm Overview

Firm
WARWICK INVESTMENT GROUP, LLC
WARWICK INVESTMENT GROUP, LLC
AUM
$1.6B
Regulatory assets under management
Employees
76
Total firm employees
View all advisors at WARWICK INVESTMENT GROUP, LLC →
Services
Pension consulting
04

Background

Compensation
Percentage of AUM
Performance-based fees
Other: REIMBURSEMENT OF CERTAIN OPERATING EXPENSES
Regulatory
SEC/IARD CRD# 4834568
Firm CRD# 226670
View on FINRA BrokerCheck →

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05

Frequently Asked Questions

What services does Katherine Taaffe Richard offer?
Katherine Taaffe Richard specializes in Retirement Planning. Contact their office in OKLAHOMA CITY, Oklahoma for a consultation.
What are Katherine Taaffe Richard's credentials?
Katherine Taaffe Richard is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.
Where is Katherine Taaffe Richard located?
Katherine Taaffe Richard is based in OKLAHOMA CITY, Oklahoma, working with WARWICK INVESTMENT GROUP, LLC. Their office serves clients in the OKLAHOMA CITY metropolitan area and surrounding communities.
How does Katherine Taaffe Richard charge for services?
Katherine Taaffe Richard's firm is compensated through percentage of aum, performance-based fees, other: reimbursement of certain operating expenses. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.
How large is WARWICK INVESTMENT GROUP, LLC?
WARWICK INVESTMENT GROUP, LLC has approximately 76 employees and manages $1.6B in regulatory assets under management. The firm is registered with the SEC as an investment adviser.
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Other Advisors at WARWICK INVESTMENT GROUP, LLC

Michael Harold Brown
OKLAHOMA CITY, OK
Brian Christopher Blad
OKLAHOMA CITY, OK
Farhana Ahmed
OKLAHOMA CITY, OK
Claire Arnote Richard Packer
OKLAHOMA CITY, OK
Ian Ross Rainbolt
OKLAHOMA CITY, OK

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Research
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