Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Stevens is a financial advisor who has been in the industry since 1988. Richard is currently registered with Wells Fargo Clearing Services, LLC and holds Series 3, 7, and 63 securities licenses. Richard also holds a Series 65 license, which allows him to provide investment advisory services. In addition to his current licenses, Richard also holds the SIE license. Richard has experience working with various client types, including individuals, corporations, and institutions. Richard is committed to providing personalized financial advice to help clients achieve their financial goals.
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
03/14/2000 - Present
Wells Fargo Clearing Services, LLC (WOODLAND HILLS CA)
NA
08/23/1988 - 09/04/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
IA
Issued 09/16/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/01/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1988
Series 3 - National Commodity Futures Examination
BC
Issued 08/20/1988
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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