Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Charles Guardiola is a financial advisor with over 25 years of experience in the financial services industry. Richard has a broad range of experience and has held positions at several firms including CHARLES SCHWAB & CO., INC. and J.P. MORGAN SECURITIES LLC. Richard is currently registered with Raymond James & Associates, Inc. and is able to provide investment advice in 23 states. Richard specializes in providing financial planning and investment advice to a variety of clients including high-net-worth individuals, corporations, and pension and profit-sharing plans.
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.
Please see note in schedule d - miscellaneous
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
NY
12/20/2022 - Present
Raymond James & Associates, Inc. (NEW YORK NY)
NY
05/07/2013 - 01/27/2023
CHARLES SCHWAB & CO., INC. (New York City NY)
NY
10/01/2012 - 05/01/2013
J.P. MORGAN SECURITIES LLC (SUNNYSIDE NY)
NY
05/02/2009 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (WOODSIDE NY)
NY
05/01/2002 - 05/02/2009
WAMU INVESTMENTS, INC. (FOREST HILLS NY)
NY
04/26/2002 - 05/01/2002
DIME SECURITIES, INC. (BROOKLYN NY)
NY
03/28/2002 - 04/26/2002
DREYFUS SERVICE CORPORATION (NEW YORK NY)
NY
11/21/2000 - 04/03/2002
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
11/12/1998 - 11/27/2000
DIME SECURITIES, INC. (BROOKLYN NY)
NJ
11/12/1997 - 10/13/1998
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 08/18/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/17/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/11/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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