Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Auguste? Claim Your ProfileAuguste Richard is an investment professional with over 20 years of experience. Auguste is currently registered with Northland Securities, Inc. and is licensed to provide investment advice in both California and Minnesota. Auguste has experience working with a range of clients including individuals, high net worth individuals, charitable organizations, and pension and profit-sharing plans. Auguste holds the Series 7, 62, 63, 86, 87, and SIE licenses. Prior to joining Northland Securities, Inc. Auguste worked at Piper Jaffray & Co., Broadpoint Capital, Inc., Hambbrecht & Quist LLC, and Alex. Brown & Sons Incorporated.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
Research services
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
Negotiated
1
2
MN
02/20/2018 - Present
Northland Securities, Inc. (MINNEAPOLIS MN)
MN
09/09/2014 - 04/18/2016
NORTHLAND SECURITIES, INC. (MINNEAPOLIS MN)
CA
11/02/2007 - 02/04/2014
PIPER JAFFRAY & CO. (SAN FRANCISCO CA)
CA
04/25/2002 - 11/01/2007
BROADPOINT CAPITAL, INC. (SAN FRANCISCO CA)
CA
10/02/1996 - 02/24/1999
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
NA
01/03/1996 - 02/20/1996
ALEX. BROWN & SONS INCORPORATED
BC
Issued 09/24/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/2004
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 12/29/2004
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 09/17/1996
Series 7 - General Securities Representative Examination
BC
Issued 01/02/1996
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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