Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Ayala is a financial advisor with over 27 years of experience in the industry. Richard is currently registered with Wells Fargo Clearing Services, LLC and is also registered as a Registered Representative (RR) with FINRA. Richard is a licensed investment advisor in both California and Texas. Prior to joining Wells Fargo Clearing Services, LLC, Richard was with Wells Fargo Investments, LLC.
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.
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2
CA
02/01/2017 - Present
Wells Fargo Clearing Services, LLC (EL DORADO HILLS CA)
CA
05/02/2001 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (EL DORADO HILLS CA)
CA
04/11/1995 - 05/02/2001
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
AZ
03/30/1994 - 02/28/1995
SENTRA SECURITIES CORPORATION (PHOENIX AZ)
IA
Issued 08/23/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/04/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/04/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/11/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/05/1999
Series 4 - Registered Options Principal Examination
BC
Issued 01/21/1997
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/1996
Series 7 - General Securities Representative Examination
BC
Issued 03/21/1994
Series 6 - Investment Company Products/Variable Contracts 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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