Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Fennema is a financial advisor with Prospera Financial Services, Inc. Richard has been in the industry since March 12, 1995, and has a wide range of experience in financial planning and investment management. Richard has held prior roles at WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC, MORGAN STANLEY, MORGAN STANLEY & CO. INCORPORATED, UBS FINANCIAL SERVICES INC., J.C. BRADFORD & CO., and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Richard is registered with the state of Texas and holds multiple licenses and certifications, including the Series 7, 63, 65, 3, 9, and 10. Richard is a Certified Financial Planner and is dedicated to helping clients achieve their financial goals. Richard is committed to providing personalized financial advice and services to individuals, families, and businesses.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Percentage of assets under review
1
2
TX
11/07/2014 - Present
Prospera Financial Services, Inc. (DALLAS TX)
TX
02/28/2014 - 11/13/2014
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (SOUTHLAKE TX)
TX
06/01/2009 - 03/10/2014
MORGAN STANLEY (ARLINGTON TX)
TX
07/27/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SOUTHLAKE TX)
TX
08/14/2000 - 08/08/2007
UBS FINANCIAL SERVICES INC. (GRAPEVINE TX)
NY
03/26/1999 - 08/14/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NY
03/13/1995 - 03/30/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 04/05/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/22/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/14/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/09/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/2003
Series 3 - National Commodity Futures Examination
BC
Issued 03/10/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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