Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Claude Cutting is an active financial advisor with over 20 years of experience in the industry. Richard is currently registered with Stifel, Nicolaus & Company, Inc. and has previously held positions with SCOTTRADE, INC., INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC, E*TRADE CLEARING LLC, BROWNCO, LLC, E*TRADE SECURITIES LLC, FRANKLIN/TEMPLETON DISTRIBUTORS, INC. and WELLS FARGO SECURITIES INC. Richard specializes in a variety of investment products and services.
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.
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.
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2
MO
10/14/2019 - Present
Stifel, Nicolaus & Company, Inc. (ST. LOUIS MO)
MO
10/14/2014 - 04/03/2018
SCOTTRADE, INC. (ST. LOUIS MO)
CA
04/10/2014 - 09/22/2014
INDUSTRIAL AND COMMERCIAL BANK OF CHINA FINANCIAL SERVICES LLC (FOLSOM CA)
NY
09/03/2002 - 04/09/2014
E*TRADE CLEARING LLC (NEW YORK NY)
MA
05/24/2006 - 06/29/2006
BROWNCO, LLC (BOSTON MA)
NJ
05/08/2006 - 05/24/2006
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
MA
12/01/2005 - 05/08/2006
BROWNCO, LLC (BOSTON MA)
NJ
12/20/1997 - 09/03/2002
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
CA
08/28/1997 - 11/24/1997
FRANKLIN/TEMPLETON DISTRIBUTORS, INC. (SAN MATEO CA)
CA
06/25/1996 - 06/23/1997
WELLS FARGO SECURITIES INC. (SAN FRANCISCO CA)
BC
Issued 05/20/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/29/2000
Series 4 - Registered Options Principal Examination
BC
Issued 07/28/2000
Series 24 - General Securities Principal Examination
BC
Issued 04/03/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/1997
Series 7 - General Securities Representative Examination
BC
Issued 06/24/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BZX 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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