Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Andrew Gilles is a financial advisor registered with Wells Fargo Clearing Services, LLC. Richard has been in the financial industry since 2004. Richard is licensed to provide financial advice in several states including Alabama, Colorado, Florida, Georgia, Illinois, Kentucky, Maryland, Massachusetts, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, and Virginia. Richard has passed the Uniform Combined State Law Examination, Securities Industry Essentials Examination, Futures Managed Funds Examination, and General Securities Representative Examination. Richard has previously worked for MORGAN STANLEY SMITH BARNEY, CITIGROUP GLOBAL MARKETS INC., and LEGG MASON WOOD WALKER, INCORPORATED.
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.
Investment consulting services to institutional clients
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NC
09/15/2014 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
06/01/2009 - 03/05/2012
MORGAN STANLEY SMITH BARNEY (CHARLOTTE NC)
NC
02/21/2006 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHARLOTTE NC)
MD
01/14/2004 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
BOTH
Issued 01/23/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/23/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 01/13/2004
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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