Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Yercheck is a financial advisor who has been in the industry since 2000. He is currently registered with Capital Investment Advisory Services, LLC, based in Raleigh, NC. Prior to that, Richard worked for PROSPERA FINANCIAL SERVICES, INC., in Monroe, NC, and before that, TCA FINANCIAL GROUP, LLC. He has also worked for Wachovia Securities, LLC, in St. Louis, MO and Wachovia Securities, INC. Richard has a strong background in financial services, having worked with individuals, business owners and corporations. Richard holds the Series 7, 9, 10, 31 and 63 licenses as well as the SIE and Series 65 exams. His areas of expertise include financial planning, portfolio management for businesses and individuals, and pension consulting. Richard is also active in the community. He is a CPR instructor and a board member of the City of Monroe Planning Board and the Union Symphony Ochestras.
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
NC
04/02/2019 - Present
Capital Investment Advisory Services, LLC (MONROE NC)
NC
06/28/2013 - 03/28/2019
PROSPERA FINANCIAL SERVICES, INC. (MONROE NC)
NC
09/17/2004 - 06/28/2013
TCA FINANCIAL GROUP, LLC (CHARLOTTE NC)
MO
06/15/2002 - 10/04/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NC
02/07/2000 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
IA
Issued 12/16/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/02/2006
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/24/2006
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/02/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 02/04/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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