Richard Flora has been Chief Compliance Officer and Member of Key Client Fiduciary Advisors since July 2018, is a control person of the firm and directly owns between 50% and 75% of it. Richard Flora holds a Degree in Business Administration with a concentration in Marketing from Seton Hall University.
Key Client Fiduciary Advisors, LLC is a Fairfield, NJ firm with $896M under management, 2,272 clients and 10 advisers across 3 offices, as of its March 2026 filing.
Richard Flora is Founding Partner of Key Client. He began his career in financial services at Merrill Lynch as a Club Level Advisor and later became a Vice President at Smith Barney. He founded Key Client in 2004 and advises individuals and business owners on portfolio management and on saving and investing for retirement, education, insurance and estate planning.
Richard Flora’s longest registration was 14 years at Wells Fargo Advisors Financial Network, LLC (2004–2018). Before joining Key Client Fiduciary Advisors in 2018, Richard Flora was registered through Wells Fargo Advisors Financial Network, LLC and Citigroup Global Markets Inc.
- – present · 7 yearsFairfield, NJ · Adviser representative · Firm CRD 298240
- Wells Fargo Advisors Financial Network, LLC– · 14 yearsFairfield, NJ · Adviser representative · Firm CRD 11025
- Citigroup Global Markets Inc.– · 1 yearLittle Falls, NJ · Adviser representative · Firm CRD 7059
Investment adviser representative registrations
Richard Flora is registered as an investment adviser representative in 2 states. The first approvals date from October 2018; the most recent is New Jersey, in November 2018.
- New JerseySince 7 November 2018
- TexasSince 31 October 2018
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 63 | Uniform Securities Agent State Law Examination | 12 April 1985 |
| Series 7 | General Securities Representative Examination | 16 March 1985 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Securities Agent State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Richard Anthony Flora
- CRD
- 1121424
- Firm
- Key Client Fiduciary Advisors · CRD 298240
- Role
- Chief Compliance Officer and Member
- Office
- 363 ROUTE 46 WEST, SUITE 300, Fairfield, NJ 07004
- Registration
- Investment adviser registration
- In the industry since
- March 1985
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- keyclientfa.com
Where does Richard Flora work?
Richard Flora has been Chief Compliance Officer and Member of Key Client Fiduciary Advisors, LLC since July 2018, and is a control person of the firm.
Is Richard Flora a financial advisor?
Yes. Richard Flora has a current investment-adviser registration in New Jersey and Texas, through Key Client Fiduciary Advisors since October 2018.
How many years of experience does Richard Flora have?
Richard Flora has 41 years in the financial industry, since March 1985, across 3 adviser firms.
What exams has Richard Flora passed?
Richard Flora has passed 2 licensing exams: the Series 7 and Series 63. The earliest, the Series 7, was passed in March 1985. FINRA credited Richard Flora with the SIE, which began in October 2018.
Where did Richard Flora work before Key Client Fiduciary Advisors?
Before Key Client Fiduciary Advisors, Richard Flora was registered through Wells Fargo Advisors Financial Network, LLC, July 2004 to October 2018; Citigroup Global Markets Inc., October 2002 to August 2004.
Where is Richard Flora based?
Richard Flora’s registered office is in Fairfield, NJ.
Is Richard Flora registered with FINRA?
No. Richard Flora has no current broker registration.
How can I verify Richard Flora’s record?
Search CRD 1121424 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Flora’s full registration record.
