Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Barron is a financial advisor with over 40 years of experience in the financial services industry. He has held positions with several prominent firms including Merrill Lynch, Deutsche Bank Securities, SunTrust Investment Services, and Morgan Stanley. Richard currently works as a financial advisor at Wells Fargo Clearing Services, LLC in Washington, DC. Richard holds numerous professional licenses and certifications, including Series 7, 8, 10, 9, 63, 65, and SIE. He specializes in providing financial planning, portfolio management, investment consulting services to institutional clients, and selection of other advisors.
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
DC
06/28/2024 - Present
Wells Fargo Clearing Services, LLC (WASHINGTON DC)
DC
05/31/2016 - 07/09/2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WASHINGTON DC)
DC
12/17/2009 - 06/06/2016
DEUTSCHE BANK SECURITIES INC. (WASHINGTON DC)
VA
06/17/2005 - 01/04/2010
SUNTRUST INVESTMENT SERVICES, INC. (VIENNA VA)
GA
01/30/2004 - 06/13/2005
SUNTRUST CAPITAL MARKETS, INC. (ATLANTA GA)
NY
03/30/2001 - 02/03/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
01/13/2001 - 04/10/2001
DEUTSCHE BANC ALEX. BROWN INC. (NEW YORK NY)
MD
09/01/1997 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NA
10/01/1996 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
PA
12/24/1990 - 10/01/1996
PARKER/HUNTER INCORPORATED (PITTSBURGH PA)
NY
04/11/1988 - 01/14/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
08/26/1982 - 04/11/1988
E. F. HUTTON & COMPANY INC
NA
01/19/1980 - 08/30/1982
BUTCHER & SINGER INC.
IA
Issued 02/09/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/07/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 03/26/1991
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/1985
Series 5 - Interest Rate Options Examination
BC
Issued 01/07/1983
Series 3 - National Commodity Futures Examination
BC
Issued 01/19/1980
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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