Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brad? Claim Your ProfileBrad Richardson is a financial advisor with Wells Fargo Clearing Services, LLC, based in Scottsdale, Arizona. Brad has been in the financial industry since 1981 and has worked with several well-known firms, including Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Lehman Brothers Inc. and Paine Webber Incorporated. Brad is registered with the state of Texas as an Investment Advisor Representative. Brad holds a variety of licenses and credentials, including the Series 7, Series 8, Series 9, Series 10, Series 31, Series 63 and Series 65. Brad specializes in providing investment consulting services to institutional clients, financial planning, pension consulting, and portfolio management for businesses and individuals.
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.
Guidance on pension options to ensure a secure financial future.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
AZ
03/29/2012 - Present
Wells Fargo Clearing Services, LLC (SCOTTSDALE AZ)
AZ
06/01/2009 - 11/18/2011
MORGAN STANLEY SMITH BARNEY (SCOTTSDALE AZ)
AZ
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SCOTTSDALE AZ)
NY
05/14/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/03/1987 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
01/08/1985 - 07/25/1987
PAINEWEBBER INCORPORATED
NA
03/23/1981 - 01/07/1985
BOETTCHER & COMPANY, INC.
IA
Issued 08/27/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/16/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 04/11/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/08/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 03/21/1981
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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