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 Klein is a financial advisor with over 30 years of experience in the financial services industry. Richard has held various roles throughout their career including positions at OppenheimerFunds Distributor, Inc., Travelers Equities Sales, Inc., and Integrated Resources Equity Corporation. Richard is currently registered with Ameriprise Financial Services, LLC, and holds Series 7, 24, 63, and 65 licenses. They have also passed the SIE exam. Richard specializes in asset allocation, financial planning, pension consulting, and portfolio management.
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.
Asset allocation 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.
A percentage of the total value of assets under management is charged.
1
2
MN
09/12/2016 - Present
Ameriprise Financial Services, LLC (Minneapolis MN)
NY
08/26/1992 - 06/07/2016
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
CA
01/01/1990 - 12/03/1991
TRAVELERS EQUITIES SALES, INC. (EL SEGUNDO CA)
NA
05/18/1987 - 07/29/1989
INTEGRATED RESOURCES EQUITY CORPORATION
NA
03/24/1987 - 07/07/1987
RESOURCES DISTRIBUTORS, INCORPORATED
IA
Issued 09/12/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/07/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/12/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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