Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Shuster is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. Richard has been in the industry since January 3, 1994, and holds Series 3, 6, 7, 31 and SIE licenses. Richard previously worked at Citigroup Global Markets Inc. and MML Investors Services, Inc.. Richard provides financial planning, pension consulting, and investment consulting services to institutional 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.
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
NY
07/27/2021 - Present
Wells Fargo Clearing Services, LLC (NEW YORK NY)
NY
07/06/1994 - 12/24/2008
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
MA
04/27/1992 - 10/26/1992
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
IA
Issued 07/15/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/15/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/31/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 07/05/1994
Series 7 - General Securities Representative Examination
BC
Issued 04/25/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 04/24/1991
Series 3 - National Commodity Futures 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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