Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard George Bassman is a financial advisor with over 20 years of experience in the financial services industry. Richard is currently registered with LPL Financial LLC and holds Series 7, Series 63, Series 66 and SIE licenses. Richard is a Certified Financial Planner (CFP) and specializes in providing financial planning, investment management, and retirement planning services to individuals and families. Previously, Richard worked with MML Investors Services, LLC, MSI Financial Services, Inc., New England Securities, Ameriprise Financial Services, Inc., and IDS Life Insurance Company.
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.
Consulting and other non-discretionary advisory services
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.
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2
CA
12/06/2018 - Present
LPL Financial LLC (CARMEL VALLEY CA)
CA
03/25/2017 - 12/11/2018
MML INVESTORS SERVICES, LLC (San Jose CA)
CA
01/02/2015 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (SAN JOSE CA)
CA
08/10/2012 - 01/02/2015
NEW ENGLAND SECURITIES (FOSTER CITY CA)
CA
04/07/2003 - 08/10/2012
AMERIPRISE FINANCIAL SERVICES, INC. (CAMPBELL CA)
MN
04/07/2003 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NY
06/01/1995 - 09/05/1995
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BOTH
Issued 04/14/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/24/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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