Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Nelson is a financial advisor with over 30 years of experience in the financial services industry. Richard has been a Registered Representative with LPL Financial LLC since May 2019 and holds a Series 7, 24, 63 and 65 licenses. Richard's previous experience includes roles at Wells Fargo Clearing Services, LLC, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Banc of America Investment Services, Inc. and Linsco/Private Ledger Corp. Richard provides a variety of financial services to individuals, families, businesses, and institutions, including financial planning, investment management, and retirement planning. Richard has a commitment to helping clients achieve their financial goals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Consulting and other non-discretionary advisory services
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.
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2
WA
05/01/2019 - Present
LPL Financial LLC (EVERETT WA)
WA
04/27/2012 - 05/03/2019
WELLS FARGO CLEARING SERVICES, LLC (BOTHELL WA)
WA
10/23/2009 - 04/30/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (EVERETT WA)
WA
05/02/2001 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (LYNNWOOD WA)
SC
09/30/1998 - 05/15/2001
LINSCO/PRIVATE LEDGER CORP. (FORT MILL SC)
CA
07/02/1998 - 10/07/1998
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
CA
03/04/1994 - 06/30/1998
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
CA
06/10/1991 - 03/01/1994
TITAN/VALUE EQUITIES GROUP, INC. (IRVINE CA)
NA
05/22/1989 - 06/10/1991
GOODLIN FINANCIAL, INC.
CA
11/24/1982 - 05/24/1989
MURPHEY FAVRE, INC. (IRVINE CA)
IA
Issued 03/23/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/30/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/26/1993
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/20/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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