Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Anthony Jones is a registered representative with Wells Fargo Clearing Services, LLC in Houston, Texas. Richard has been in the financial industry since 2006. Richard holds Series 6, 7, 63, and 65 licenses and has been active in the financial industry for over a decade. Richard has worked with several financial institutions, including J.P. Morgan Securities LLC and Allstate Financial Services, LLC. Richard specializes in providing financial planning, investment consulting, and portfolio management services to a wide range of clients, including individuals, businesses, and institutions.
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
TX
09/04/2019 - Present
Wells Fargo Clearing Services, LLC (HOUSTON TX)
TX
10/03/2014 - 02/01/2019
J.P. MORGAN SECURITIES LLC (HOUSTON TX)
TX
04/22/2011 - 09/06/2011
ALLSTATE FINANCIAL SERVICES, LLC (HOUSTON TX)
CT
02/19/2008 - 09/24/2009
TOUCHSTONE SECURITIES, INC. (NORWALK CT)
TX
01/22/2008 - 02/14/2008
SUMMITALLIANCE SECURITIES, L.L.C. (DALLAS TX)
TX
05/28/1999 - 10/11/2005
VALIC FINANCIAL ADVISORS, INC. (HOUSTON TX)
IA
Issued 09/04/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/15/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/08/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/2014
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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