Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Patrick? Claim Your ProfilePatrick Richard is a financial advisor with over 30 years of experience in the financial services industry. Patrick currently works at Herbert J. Sims Capital Management, Inc. Patrick has held previous positions at Associated Investment Services, Inc., Invest Financial Corporation, Wells Fargo Investments, LLC, Wells Fargo Brokerage Services, L.L.C., Wells Fargo Securities Inc., First Union Securities, Inc., Principal Financial Securities,INC., and Piper Jaffray Inc. Patrick holds licenses to provide financial services in several states and has a strong understanding of the investment landscape.
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.
Helps you choose top advisors aligned with your financial goals.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
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MN
12/24/2015 - Present
Herbert J. Sims Capital Management, Inc. (Bloomington MN)
MN
09/27/2007 - 07/07/2015
ASSOCIATED INVESTMENT SERVICES, INC. (MINNEAPOLIS MN)
MN
03/06/2003 - 10/25/2006
INVEST FINANCIAL CORPORATION (ST. CLOUD MN)
CA
12/13/2000 - 02/14/2003
WELLS FARGO INVESTMENTS, LLC (SAN FRANCISCO CA)
MN
12/14/2000 - 08/13/2002
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
CA
02/23/2000 - 05/07/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
MN
02/23/2000 - 12/13/2000
WELLS FARGO BROKERAGE SERVICES, L.L.C. (MINNEAPOLIS MN)
MO
05/11/1998 - 02/24/2000
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
TX
07/22/1994 - 05/11/1998
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
MN
10/20/1983 - 08/03/1994
PIPER JAFFRAY INC. (MINNEAPOLIS MN)
IA
Issued 12/30/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/24/1983
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 10/28/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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