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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Arthur Schaefer is an investment advisor representative with RBC Capital Markets, LLC, with over 40 years of experience in the financial industry. Richard has a broad range of experience and holds multiple licenses and designations, including Series 3, 7, 10, 31, 63 and 66 licenses, and has held positions with a number of financial institutions including A. G. Edwards & Sons, Inc., Rauscher Pierce Refsnes, Inc. and Dain Rauscher Incorporated. Currently, Richard is registered as an investment advisor representative in 44 states and the District of Columbia. Richard specializes in providing investment advice and services to individuals, corporations, pension and profit sharing plans, and other 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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
AZ
04/26/2006 - Present
RBC Capital Markets, LLC (TUCSON AZ)
NA
01/02/1998 - 03/02/1998
DAIN RAUSCHER INCORPORATED
TX
08/03/1994 - 01/02/1998
RAUSCHER PIERCE REFSNES, INC. (DALLAS TX)
MO
05/24/1982 - 07/15/1994
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
BOTH
Issued 02/23/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/19/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/09/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 08/26/1987
Series 3 - National Commodity Futures Examination
BC
Issued 05/15/1982
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, 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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