Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Zak is a financial advisor with Charles Schwab & Co., Inc. in San Mateo, CA. Richard has been in the financial services industry since 1988 and is registered with both FINRA and the state of California. Richard holds several professional licenses and designations, including Series 7, Series 10, Series 24, and Series 63 and 65. Richard specializes in financial planning, and portfolio management. In addition to his work at Charles Schwab, Richard is a volunteer board member for the CFP Board. Richard is committed to providing clients with personalized financial advice and guidance.
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
CA
01/11/2001 - Present
Charles Schwab & CO., Inc. (San Mateo CA)
NE
07/28/2021 - 07/29/2024
TD AMERITRADE, INC. (OMAHA NE)
NY
08/18/1999 - 11/27/2000
SPIDER SECURITIES, INC. (NEW YORK NY)
AZ
12/22/1998 - 09/15/1999
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NY
05/11/1990 - 12/31/1998
SPIDER SECURITIES, INC. (NEW YORK NY)
NY
06/21/1988 - 05/08/1990
HIBBARD BROWN & CO., INC. (NEW YORK NY)
IA
Issued 04/01/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/14/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/23/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/07/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/29/1992
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/18/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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