Neal Richard has been Managing Director of Allegiance Financial Group since April 1997, is a control person of the firm and directly owns between 50% and 75% of it.
Allegiance Financial Group, Inc. is a South Portland, ME firm with $181M under management, 173 clients and 6 advisers in one office, as of its March 2026 filing.
Neal Richard’s longest registration is the current one, 24 years at Allegiance Financial Group since 2002.
- Savant Wealth ManagementAlso current– present · under a yearSouth Portland, ME · Adviser representative · Firm CRD 107271
- – present · 24 yearsSouth Portland, ME · Adviser representative · Firm CRD 113826
Investment adviser representative registrations
Neal Richard is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from September 2002; the most recent is Texas, in December 2022.
- MaineSince 27 September 2002
- TexasResidentSince 14 December 2022
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 99TO | Operations Professional Examination | 2 January 2023 |
| SIE | Securities Industry Essentials Examination | Credited |
| Series 27 | Financial and Operations Principal Examination | 22 February 2001 |
| Series 65 | Uniform Investment Adviser Law Examination | 29 November 1995 |
| Series 7 | General Securities Representative Examination | 29 April 1993 |
| Series 63 | Uniform Securities Agent State Law Examination | 19 May 1992 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 1 May 1992 |
- Name
- Operations Professional Examination
- Name
- Securities Industry Essentials Examination
- Name
- Financial and Operations Principal Examination
- Name
- Uniform Investment Adviser Law Examination
- Name
- General Securities Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Full name
- Neal Patrick Richard
- CRD
- 2229267
- Firm
- Allegiance Financial Group · CRD 113826
- Role
- Managing Director
- Office
- 50 DONALD B. DEAN DRIVE, SUITE ONE, South Portland, ME 04106
- Registration
- Investment adviser and broker registrations
- In the industry since
- May 1992
- Disciplinary history
- Not yet shown here · SEC record · BrokerCheck
Where does Neal Richard work?
Neal Richard has been Managing Director of Allegiance Financial Group, Inc. since April 1997, and is a control person of the firm.
Is Neal Richard a financial advisor?
Yes. Neal Richard has a current investment-adviser registration in Maine and Texas, through Allegiance Financial Group since September 2002.
How many years of experience does Neal Richard have?
Neal Richard has 34 years in the financial industry, since May 1992, across 2 adviser firms.
What exams has Neal Richard passed?
Neal Richard has passed 6 licensing exams: the Series 6, Series 63, Series 7, Series 65, Series 27 and Series 99TO. The earliest, the Series 6, was passed in May 1992. FINRA credited Neal Richard with the SIE, which began in October 2018.
Where is Neal Richard based?
Neal Richard’s registered office is in South Portland, ME.
Is Neal Richard registered with FINRA?
Yes. Neal Richard has a current broker registration, under CRD 2229267.
Source: FINRA BrokerCheck
How can I verify Neal Richard’s record?
Search CRD 2229267 on the SEC’s adviser search (adviserinfo.sec.gov) and FINRA’s broker search (brokercheck.finra.org), which publish Neal Richard’s full registration record.