Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Schober is a financial professional with over 30 years of experience in the securities industry. Richard has a strong background in municipal finance and is currently a registered representative with Piper Sandler & Co. in Seattle, Washington. Richard has previously held positions at Seattle-Northwest Securities Corporation, Goldman, Sachs & Co. and Piper Jaffray & Co. Richard's expertise lies in providing comprehensive financial solutions to clients, including portfolio management and financial planning. Richard holds a variety of licenses and registrations, including Series 7, 50, 52, 53, 54 and 63.
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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
WA
07/15/2013 - Present
Piper Sandler & Co. (SEATTLE WA)
UT
09/27/2007 - 07/16/2013
SEATTLE-NORTHWEST SECURITIES CORPORATION (SALT LAKE CITY UT)
NY
01/19/2005 - 10/18/2007
GOLDMAN, SACHS & CO. (NEW YORK NY)
MN
02/08/1993 - 01/18/2005
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
WA
12/22/1987 - 01/19/1993
PUGET SOUND SECURITIES, INC. (SEATTLE WA)
BC
Issued 02/22/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/08/2021
Series 54 - Municipal Advisor Principal Qualification Examination
BC
Issued 02/10/2009
Series 53 - Municipal Securities Principal Examination
BC
Issued 05/12/1989
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/12/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 12/19/1987
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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