Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Baumgratz is a financial professional with over 25 years of experience in the industry. Richard is currently a registered representative with Stifel, Nicolaus & Company, Inc. Richard has held prior roles with Vining-Sparks IBG, LLC, Kevin G. Boyle Securities, Inc., and Neuberger Berman, LLC. Richard is licensed in 46 states and holds a variety of industry certifications, including Series 3, 7, 24, 25, 27, 63, 65, 79TO and the SIE. Richard specializes in financial planning, pension consulting, and portfolio management for businesses and individuals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
1
2
NC
04/22/2022 - Present
Stifel, Nicolaus & Company, Inc. (CHARLOTTE NC)
NC
05/21/2008 - 04/22/2022
VINING-SPARKS IBG, LLC (CHARLOTTE NC)
NY
01/29/2001 - 11/27/2007
KEVIN G. BOYLE SECURITIES, INC. (NEW YORK NY)
NY
05/17/1999 - 01/19/2001
NEUBERGER BERMAN, LLC (NEW YORK NY)
NY
02/14/1997 - 05/18/1999
NEUBERGER BERMAN MANAGEMENT INC. (NEW YORK NY)
BC
Issued 06/13/2008
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/18/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/16/2001
Series 27 - Financial and Operations Principal Examination
BC
Issued 06/26/1998
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/03/2008
Series 3 - National Commodity Futures Examination
BC
Issued 03/14/2000
Series 25 - NYSE Trading Assistant Examination
BC
Issued 02/12/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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