Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Barry is a financial advisor registered with Wells Fargo Clearing Services, LLC. Richard has over 25 years of experience in the financial industry, holding licenses for both securities and investment advisory services. He is a Certified Financial Planner and has passed the Uniform Investment Adviser Law Examination and the General Securities Representative Examination. Richard is currently registered in 31 states and works out of the Santa Rosa office. Richard's previous employers include Merrill Lynch, Pierce, Fenner & Smith Incorporated, Mesirow Financial, Inc. and Financial West Group.
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
09/01/2021 - Present
Wells Fargo Clearing Services, LLC (SANTA ROSA CA)
CA
05/11/2009 - 09/13/2010
WELLS FARGO ADVISORS, LLC (NAPA CA)
CA
12/17/2007 - 05/12/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NAPA CA)
IL
09/18/2006 - 07/24/2007
MESIROW FINANCIAL, INC. (CHICAGO IL)
CA
09/03/2003 - 04/25/2006
FINANCIAL WEST GROUP (SAN FRANCISCO CA)
CA
06/20/2000 - 08/27/2003
BECHTEL FINANCING SERVICES, LLC (MILL VALLEY CA)
MD
08/17/1998 - 02/18/1999
LAFAYETTE INVESTMENTS, INC. (BETHESDA MD)
NY
04/01/1996 - 04/09/1997
LIBERTY SECURITIES CORPORATION (PURCHASE NY)
NY
02/16/1994 - 03/17/1995
BLAYLOCK & PARTNERS, L.P. (NEW YORK NY)
NY
10/30/1991 - 01/14/1994
SALOMON BROTHERS INC. (NEW YORK NY)
IA
Issued 02/02/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/01/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/1991
Series 7 - General Securities Representative Examination
BC
Issued 10/18/1991
Series 3 - National Commodity Futures 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
Not sure Richard Barry is the right advisor for you? Invested Better is here to help.
