Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Conrad? Claim Your ProfileConrad Butler Richards is an active investment advisor representative with Wells Fargo Clearing Services, LLC. Conrad has been in the industry since 1981, and is registered with the state of Tennessee as both a broker-dealer and an investment advisor. Conrad has a diverse set of licenses and qualifications, including Series 7, 5, 15, 63, and 65 exams. Conrad is also registered in 24 other states. Conrad's previous employment includes Prudential Securities Incorporated and Shearson Lehman Brothers Inc.. In addition to Conrad's individual licenses and qualifications, Wells Fargo Clearing Services, LLC also offers a variety of financial planning and investment management services to individuals, businesses, and institutions.
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
TN
01/16/2004 - Present
Wells Fargo Clearing Services, LLC (MEMPHIS TN)
NY
06/06/1986 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NA
02/23/1981 - 06/16/1986
SHEARSON LEHMAN BROTHERS INC.
IA
Issued 10/01/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/25/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/1983
Series 15 - Foreign Currency Options Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 02/21/1981
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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