Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Allen Brandi is a financial advisor with over 30 years of experience in the financial services industry. Richard is currently registered with Charles Schwab & CO., Inc. in Texas and California. Richard has been a registered representative with Charles Schwab since 2003 and has also held previous positions at TD Ameritrade, Inc., Goldman, Sachs & Co., and Fidelity Brokerage Services, Inc.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
TX
10/28/2022 - Present
Charles Schwab & CO., Inc. (Plano TX)
TX
11/04/2022 - 05/19/2024
TD AMERITRADE, INC. (Austin TX)
NY
07/31/2000 - 07/07/2003
GOLDMAN, SACHS & CO. (NEW YORK NY)
RI
04/02/1993 - 07/26/2000
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
BOTH
Issued 12/06/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/08/1993
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 07/23/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/25/1996
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/1994
Series 7 - General Securities Representative Examination
BC
Issued 04/01/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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