Richard Vertucci has been an investment adviser representative at SWP Financial since October 2023, and is not listed among the firm’s executive officers or direct owners. Richard Vertucci holds an Associate of Arts Degree in General Studies from Fulton-Montgomery Community College and a Bachelor of Arts Degree in Communication Arts from St. John's University.
SWP Financial LLC is an Encinitas, CA firm with $239M under management, 193 clients and 3 advisers across 3 offices, as of its July 2026 filing.
Richard Vertucci is Investment Operations Analyst and Financial Advisor of Salient Wealth Planning, based in Encinitas, California. He began his career at Ameriprise Financial in Albany, New York, where he worked from October 2014 to September 2019. He has contributed to clients' financial well-being at Salient Wealth Planning for over a decade.
Richard Vertucci’s longest registration was 4 years at Ameriprise Financial Services, LLC (2019–2023). Before joining SWP Financial in 2023, Richard Vertucci was registered through Ameriprise Financial Services, LLC.
- SavvyAlso current– present · under a yearSan Diego, CA · Adviser representative · Firm CRD 318493
- Salient Wealth PlanningCurrent– present · 2 yearsEncinitas, CA · Adviser representative · Firm CRD 327885
- Ameriprise Financial Services, LLC– · 4 yearsSan Diego, CA · Adviser representative · Firm CRD 6363
Professional designations
Listed by SWP Financial
- CRPC™
- RICP®
Investment adviser representative registrations
Richard Vertucci is registered as an investment adviser representative in 2 states, as a resident of Texas. The first approvals date from October 2023; the most recent is Texas, in September 2026.
- CaliforniaSince 31 October 2023
- TexasResidentSince 24 September 2026
Examinations
| Exam | Name | Passed |
|---|---|---|
| SIE | Securities Industry Essentials Examination | Credited |
| Series 66 | Uniform Combined State Law Examination | 4 May 2018 |
| Series 7 | General Securities Representative Examination | 23 April 2018 |
- Name
- Securities Industry Essentials Examination
- Name
- Uniform Combined State Law Examination
- Name
- General Securities Representative Examination
- Full name
- Richard Joseph Vertucci
- CRD
- 6442611
- Firm
- SWP Financial · CRD 327885
- Office
- 171 SAXONY ROAD, SUITE 211, Encinitas, CA 92024
- Registration
- Investment adviser registration
- In the industry since
- April 2018
- Disciplinary history
- Not yet shown here · SEC record
- Firm bio
- salientwealthplanning.com
Where does Richard Vertucci work?
Richard Vertucci is an investment adviser representative registered through SWP Financial LLC since October 2023, and is not listed among the firm’s executive officers or direct owners.
Is Richard Vertucci a financial advisor?
Yes. Richard Vertucci has a current investment-adviser registration in California and Texas, through SWP Financial since October 2023.
How many years of experience does Richard Vertucci have?
Richard Vertucci has 8 years in the financial industry, since April 2018, across 3 adviser firms.
What exams has Richard Vertucci passed?
Richard Vertucci has passed 2 licensing exams: the Series 7 and Series 66. The earliest, the Series 7, was passed in April 2018. FINRA credited Richard Vertucci with the SIE, which began in October 2018.
Where is Richard Vertucci based?
Richard Vertucci’s registered office is in Encinitas, CA.
Is Richard Vertucci registered with FINRA?
No. Richard Vertucci has no current broker registration.
How can I verify Richard Vertucci’s record?
Search CRD 6442611 on the SEC’s adviser search (adviserinfo.sec.gov), which publishes Richard Vertucci’s full registration record.
