Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Wenzel is a financial advisor with Wells Fargo Clearing Services, LLC. Richard has been in the industry since November 24, 2018 and is registered with the state of Illinois. Richard has also worked with LBMZ Securities, Inc. and Lincoln Investment in the past. Richard is a Series 66, 65, 63, 9, 10, 7 and SIE licensed professional and holds designations as a Certified Financial Planner.
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
IL
11/03/2023 - Present
Wells Fargo Clearing Services, LLC (CHICAGO IL)
IL
04/14/2021 - 09/01/2022
LBMZ SECURITIES, INC. (CHICAGO IL)
IL
05/16/2017 - 06/11/2020
LINCOLN INVESTMENT (LOMBARD IL)
BOTH
Issued 11/03/2023
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/06/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/03/2017
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/26/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 06/08/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2017
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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