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 Ceffalio is a financial advisor who provides investment advisory services through Newedge Advisors, LLC, an independent investment advisor firm. Richard has over 25 years of experience in the financial services industry and holds several licenses and certifications, including Series 7, 9, 10, 31, 63, and 66. Richard specializes in providing financial planning and investment management services to individuals, families, and businesses. Richard's expertise spans a range of areas including investment management, retirement planning, education planning, and estate planning.
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.
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.
A percentage of the total value of assets under management is charged.
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2
IL
11/19/2019 - Present
Newedge Advisors (Arlington Heights IL)
IL
11/15/2019 - 07/01/2024
LPL FINANCIAL LLC (ARLINGTON HEIGHTS IL)
IL
11/02/2012 - 12/06/2019
WELLS FARGO CLEARING SERVICES, LLC (ARLINGTON HEIGHTS IL)
IL
10/03/2008 - 11/12/2012
UBS FINANCIAL SERVICES INC. (NORTHBROOK IL)
IL
01/01/2008 - 10/09/2008
WACHOVIA SECURITIES, LLC (ARLINGTON HEIGHTS IL)
IL
03/18/1997 - 01/03/2008
A. G. EDWARDS & SONS, INC. (ARLINGTON HEIGHTS IL)
NY
06/13/1995 - 03/19/1997
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BOTH
Issued 12/19/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/07/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/17/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/14/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/03/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 06/12/1995
Series 7 - General Securities Representative Examination
Active
Inactive
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