Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard A. Weiss is a financial advisor with Wells Fargo Securities, LLC in New York, New York. Richard has over 34 years of experience in the financial industry. Richard's registrations include Series 7, 52, 53, 63, 6, 22, 50, 79, 82, 99 and SIE. Richard has also earned the following designations: Richard was previously registered with Morgan Stanley & Co. LLC.
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.
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.
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2
NY
05/18/2023 - Present
Wells Fargo Securities, LLC (New York NY)
NY
07/05/1989 - 03/02/2023
MORGAN STANLEY & CO. LLC (NEW YORK NY)
BC
Issued 10/10/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/18/2023
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/18/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 05/18/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 05/18/2023
Series 99TO - Operations Professional Examination
BC
Issued 05/18/2023
Series 82TO - Limited Representative-Private Securities Offerings
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 11/08/2019
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/10/1990
Series 7 - General Securities Representative Examination
BC
Issued 04/03/1989
Series 52 - Municipal Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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