Richard Holbrook has been President, Chief Compliance Officer of Global Wealth Strategies since May 2003, is a control person of the firm and directly owns 75% or more of it.
Global Wealth Strategies LLC is a Palo Alto, CA firm with $147M under management, 35 clients and 1 adviser in one office, as of its April 2026 filing.
- Holbrook Global StrategiesCurrent– present · 23 yearsFoster City, CA · Adviser representative · Firm CRD 127059
Investment adviser representative registrations
Richard Holbrook is registered as an investment adviser representative in California, since July 2003.
- CaliforniaSince 25 July 2003
Examinations
| Exam | Name | Passed |
|---|---|---|
| Series 65 | Uniform Investment Adviser Law Examination | 1 July 2003 |
| Series 3 | National Commodity Futures Examination | 9 April 1998 |
| Series 7 | General Securities Representative Examination | 6 November 1997 |
| Series 6 | Investment Company Products/Variable Contracts Representative Examination | 11 February 1994 |
| Series 63 | Uniform Securities Agent State Law Examination | 7 January 1994 |
- Name
- Uniform Investment Adviser Law Examination
- Name
- National Commodity Futures Examination
- Name
- General Securities Representative Examination
- Name
- Investment Company Products/Variable Contracts Representative Examination
- Name
- Uniform Securities Agent State Law Examination
- Full name
- Richard Lindquist Holbrook
- CRD
- 2413100
- Firm
- Global Wealth Strategies · CRD 127059
- Role
- President, Chief Compliance Officer
- Office
- Foster City, CA
- Registration
- Investment adviser registration
- In the industry since
- July 2003
- Disciplinary history
- Not yet shown here · SEC record
Where does Richard Holbrook work?
Richard Holbrook has been President, Chief Compliance Officer of Global Wealth Strategies LLC since May 2003, and is a control person of the firm.
Is Richard Holbrook a financial advisor?
Yes. Richard Holbrook has a current investment-adviser registration in California, through Global Wealth Strategies since July 2003.
How many years of experience does Richard Holbrook have?
Richard Holbrook has 23 years in the financial industry, since July 2003, across 1 adviser firm.
What exams has Richard Holbrook passed?
Richard Holbrook has passed 5 licensing exams: the Series 63, Series 6, Series 7, Series 3 and Series 65. The earliest, the Series 63, was passed in January 1994.
Where is Richard Holbrook based?
Richard Holbrook’s registered office is in Foster City, CA.
Is Richard Holbrook registered with FINRA?
No. Richard Holbrook has no current broker registration.
How can I verify Richard Holbrook’s record?
Search CRD 2413100 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Holbrook’s full registration record.