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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kevin? Claim Your ProfileKevin Richard is a financial advisor with Wells Fargo Clearing Services, LLC and has been in the industry since September 13, 1996. Richard is registered with the state of California as an investment advisor representative and has also been approved as a resident investment advisor representative in Texas. In addition to his current firm, Richard has previously worked at Morgan Stanley DW Inc. Richard holds the Series 7, Series 31, Series 63, and Series 65 licenses, as well as the Securities Industry Essentials (SIE) Examination. Richard specializes in providing investment consulting services to institutional clients, financial planning, and portfolio management for individuals and businesses.
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
CA
02/08/2022 - Present
Wells Fargo Clearing Services, LLC (SANTA BARBARA CA)
NY
09/13/1996 - 02/01/2005
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 10/09/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 09/12/1996
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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