Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Benton Buie is an investment advisor representative at Wells Fargo Clearing Services, LLC, registered in California and Texas. Richard has been working in the financial industry since May 9, 1994. Richard is also registered with A. G. Edwards & Sons, Inc. and Dain Rauscher Incorporated, and has experience in a variety of financial products and services. Richard is a registered representative and holds the Series 7, Series 31, and Series 63 licenses. Richard is also certified in the Securities Industry Essentials (SIE) exam.
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
CA
01/06/2016 - Present
Wells Fargo Clearing Services, LLC (SANTA BARBARA CA)
CA
07/07/1999 - 01/03/2008
A. G. EDWARDS & SONS, INC. (SANTA BARBARA CA)
NY
03/02/1998 - 07/07/1999
DAIN RAUSCHER INCORPORATED (NEW YORK NY)
NA
05/10/1994 - 03/02/1998
DAIN RAUSCHER INCORPORATED
BC
Issued 04/29/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/16/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 04/25/1994
Series 7 - General Securities 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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