Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Fawcett is a financial advisor with Charles Schwab & Co., Inc.. Richard has been in the financial industry since 2001 and has held previous roles at Optionsxpress, Inc. and CyberTrader, Inc.. Richard is registered with the state of Arizona as an Investment Advisor Representative (IAR) and holds Series 3, 7, 9, 10, 63 and 66 securities licenses. Richard is also registered with the state of California as an IAR and the state of Texas as an IAR, but these registrations are inactive. Richard provides financial planning and selection of other advisers services to individuals and other clients.
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
1
2
AZ
01/02/2019 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
AZ
09/02/2011 - 11/10/2017
OPTIONSXPRESS, INC. (PHOENIX AZ)
TX
01/29/2004 - 12/31/2004
CYBERTRADER, INC. (AUSTIN TX)
BOTH
Issued 01/19/2018
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/18/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/15/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/06/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2011
Series 3 - National Commodity Futures Examination
BC
Issued 11/17/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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