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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 Duby is a financial advisor who has been in the industry since 1998. Richard is currently registered with LPL Financial LLC and has been with the firm since 2004. Richard's previous experience includes working with Lincoln Financial Advisors Corporation, The Lincoln National Life Insurance Company, PIM Financial Services, Inc., and Quest Capital Strategies, Inc. Richard is registered in 17 states as a broker and investment advisor. Richard offers a variety of services including financial planning, pension consulting, educational seminars, and portfolio management.
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
07/30/2004 - Present
LPL Financial LLC (TEMECULA CA)
IN
07/29/1999 - 08/02/2004
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
07/29/1999 - 08/02/2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
CA
12/04/1998 - 08/12/1999
PIM FINANCIAL SERVICES, INC. (SAN MARCOS CA)
CA
04/03/1998 - 11/19/1998
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
IA
Issued 10/28/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/04/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/06/2004
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/02/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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