Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Dirosa is a financial advisor with over 20 years of experience in the financial services industry. He has been a registered representative with Wells Fargo Clearing Services, LLC since November 2016. Prior to that, Richard worked at First Clearing, LLC, Morgan Stanley DW Inc., Morgan Stanley Dean Witter Online Inc., and Chatfield Dean & Co., Inc..
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
MO
11/11/2016 - Present
Wells Fargo Clearing Services, LLC (ST. LOUIS MO)
MO
01/02/2012 - 11/11/2016
FIRST CLEARING, LLC (ST. LOUIS MO)
NY
11/01/2000 - 01/25/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
CA
10/15/1997 - 11/01/2000
MORGAN STANLEY DEAN WITTER ONLINE INC. (SAN FRANCISCO CA)
CO
08/29/1997 - 09/24/1997
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
BC
Issued 09/09/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/27/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/09/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/30/2011
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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