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RIA / WealthAdvisordual registered (broker-dealer)32 years in industry

RICHARD ALLEN GANIM

Advisor at STRATOS WEALTH PARTNERS, LTD

BROADVIEW HEIGHTS, OH

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Search this name across graphsid dfx:ria:14c62084-73bd-0fe7-86c4-1a1ed5884b57

Data as of Sep 14, 2026 (this record's last observation) from federal regulator filings. Page built Sep 21, 2026, 9:00 PM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Nov 8, 2004 to Sep 14, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: STRATOS WEALTH PARTNERS, LTD
Current firm class: broker-dealer affiliated wealth managerderived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Mar 11, 1994earliest registration or exam on IAPD
Years in industry: 32derivedfrom the industry start date
Years at current firm: 9derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 3
Exams: S65|S63
First exam: Mar 11, 1994
First registration: Nov 8, 2004
Dual registered: yes, broker-dealer
Other names: RICK GANIM
IAPD individual key: 2447068

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
STRATOS WEALTH PARTNERS, LTD	Bd affiliated wealth	Feb 16, 2017	n/a	yes	BROADVIEW HEIGHTS, OH	Current employment
MSI FINANCIAL SERVICES, INC.	Former SEC adviser	Jul 7, 2010	Feb 23, 2017	no	BROADVIEW HEIGHTS, OH	Previous registration
H. BECK, INC.	Former SEC adviser	Nov 17, 2009	Jun 10, 2010	no	BRECKSVILLE, OH	Previous registration
CETERA ADVISORS LLC	Former SEC adviser	Jul 19, 2007	Nov 12, 2009	no	GREENWOOD VILLAGE, CO\|GREENWOOD VILLAGE, CO\|BRECKSVILLE, OH	Previous registration
LEGACY ADVISORY SERVICES, INC.	n/a	Nov 8, 2004	Jul 18, 2007	no	BRECKSVILLE, OH	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
MSI FINANCIAL SERVICES, INC.	STRATOS WEALTH PARTNERS, LTD	Feb 23, 2017	Feb 16, 2017	-7	Firm change	Other
H. BECK, INC.	MSI FINANCIAL SERVICES, INC.	Jun 10, 2010	Jul 7, 2010	27	Firm change	Other
CETERA ADVISORS LLC	H. BECK, INC.	Nov 12, 2009	Nov 17, 2009	5	Firm change	Other
LEGACY ADVISORY SERVICES, INC.	CETERA ADVISORS LLC	Jul 18, 2007	Jul 19, 2007	1	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
14251:153184:OH:2017-02-23	Feb 23, 2017	Feb 16, 2017	BROADVIEW HEIGHTS, OH	Firm change

Relationships

Registered with (5)

→ STRATOS WEALTH PARTNERS, LTDRegistered adviserregistration: current employment
Feb 16, 2017 to presentfactForm ADV
→ MSI FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Jul 7, 2010 to Feb 23, 2017factForm ADV
→ H. BECK, INC.Registered adviserregistration: previous registration
Nov 17, 2009 to Jun 10, 2010factForm ADV
→ CETERA ADVISORS LLCRegistered adviserregistration: previous registration
Jul 19, 2007 to Nov 12, 2009factForm ADV
→ LEGACY ADVISORY SERVICES, INC.Registered adviserregistration: previous registration
Nov 8, 2004 to Jul 18, 2007factForm ADV

Dated events

No dated event names this entity yet.