# RICK J WERTHEIM

RICK J WERTHEIM is an investment adviser representative (IAR) with state registration records since 2008, appearing at 5 firms. Currently registered with INDEPENDENT FINANCIAL GROUP, LLC.

## Registration history (5)

| Firm | From | To | Current |
| --- | --- | --- | --- |
| [INDEPENDENT FINANCIAL GROUP, LLC](https://search.stillhousedata.com/firm/7717) | 2021-06-03 | present | Yes |
| [AMERIPRISE FINANCIAL SERVICES, LLC](https://search.stillhousedata.com/firm/6363) | 2014-12-24 | 2015-09-29 | — |
| [CETERA WEALTH SERVICES, LLC](https://search.stillhousedata.com/firm/13572) | 2012-07-06 | 2015-01-02 | — |
| [WOODBURY FINANCIAL SERVICES, INC.](https://search.stillhousedata.com/firm/421) | 2011-05-19 | 2012-07-10 | — |
| [INVEST FINANCIAL CORPORATION](https://search.stillhousedata.com/firm/12984) | 2008-02-15 | 2011-05-09 | — |

## More

- [This representative on SEC IAPD (source of record)](https://adviserinfo.sec.gov/individual/summary/5390056)
- [This page as markdown (for LLM agents)](https://search.stillhousedata.com/rep/5390056.md)
- [Search all SEC filings, advisers and people on Adviser Search](https://search.stillhousedata.com/)

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Source: public SEC filing data via Adviser Search (https://search.stillhousedata.com).
Agents: this data is also queryable via MCP tools and read-only SQL — see https://search.stillhousedata.com/llms.txt.