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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Koobatian is a financial advisor currently registered with Wells Fargo Clearing Services, LLC. Richard has been in the industry since 1998 and holds various licenses including Series 7, 31, 63 and 65. Richard has been with Wells Fargo Advisors LLC since 2009 and is also registered with Wells Fargo Clearing Services, LLC since 2016. Richard's prior registrations include Atlas Securities, LLC, TIAA-CREF Individual & Institutional Services, LLC, Teachers Personal Investors Services, Inc., Citigroup Investment Services and Morgan Stanley DW Inc. Richard is also registered in 37 states. Richard specializes in portfolio management for businesses and individuals, financial planning and selection of other advisers. Richard is a registered Investment Advisor and Broker.
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
CA
06/16/2023 - Present
Wells Fargo Clearing Services, LLC (WALNUT CREEK CA)
CA
11/18/2005 - 03/08/2007
ATLAS SECURITIES, LLC (SAN LEANDRO CA)
NY
01/01/2004 - 11/01/2005
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (NEW YORK NY)
NY
04/04/2002 - 01/01/2004
TEACHERS PERSONAL INVESTORS SERVICES, INC. (NEW YORK NY)
NY
10/29/2001 - 02/13/2002
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
04/01/1998 - 12/10/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
IA
Issued 04/11/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/29/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/29/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 03/31/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe 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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