Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Leist is a financial professional with over 40 years of experience in the financial services industry. Richard is currently registered with Cetera Investment Advisers LLC as an Investment Advisor Representative. He is also registered as a broker in several states. Previously, Richard was a Financial Advisor at Summit Brokerage Services, Inc. and has also held positions at Oppenheimer & Co. Inc., Robert W. Baird & Co. Incorporated and Northwestern Mutual Investment Services, LLC. Richard holds licenses for Series 63, 65, 66, 7, 8, 9, and 10. Richard can assist with financial planning, pension consulting, and educational seminars. He also provides portfolio management for individuals and businesses.
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.
A percentage of the total value of assets under management is charged.
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2
MI
06/29/2023 - Present
Cetera Investment Advisers LLC (GRANDVILLE MI)
MI
09/04/2012 - 09/20/2019
SUMMIT BROKERAGE SERVICES, INC. (GRANDVILLE MI)
MI
11/22/2005 - 09/07/2012
OPPENHEIMER & CO. INC. (KALAMAZOO MI)
WI
01/31/2002 - 12/02/2005
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
WI
01/01/2002 - 01/31/2002
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MILWAUKEE WI)
WI
11/28/2001 - 01/01/2002
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
OH
05/14/1990 - 12/07/2001
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
NY
08/25/1989 - 05/23/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NY
08/26/1987 - 08/25/1989
THOMSON MCKINNON SECURITIES INC. (NEW YORK NY)
NA
12/22/1983 - 09/10/1987
E. F. HUTTON & COMPANY INC
IA
Issued 01/22/2008
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 08/27/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/30/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/05/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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