Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Harkless is a financial advisor with over 25 years of experience in the financial services industry. Richard has held positions at several prominent firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANCWEST INVESTMENT SERVICES, INC. and now U.S. Bancorp Investments, Inc. Richard's expertise encompasses investment advisory services, financial planning, portfolio management, and selection of other advisors. Richard specializes in working with high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans.
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.
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.
A percentage of the total value of assets under management is charged.
12b-1,networking&shareholder serv,product partner arrangements
1
2
CA
01/28/2025 - Present
U.s. Bancorp Investments, Inc. (Davis CA)
CA
06/22/2015 - 07/19/2023
BANCWEST INVESTMENT SERVICES, INC. (SACRAMENTO CA)
CA
10/23/2009 - 11/21/2014
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SACRAMENTO CA)
CA
03/07/2001 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (DAVIS CA)
NY
04/25/2000 - 07/14/2000
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
MA
07/12/1999 - 03/21/2000
BANC OF AMERICA INVESTMENT SERVICES, INC. (BOSTON MA)
CA
03/17/1997 - 07/12/1999
BA INVESTMENT SERVICES, INC. (OAKLAND CA)
BOTH
Issued 08/17/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/15/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/02/2010
Series 7 - General Securities Representative Examination
BC
Issued 03/15/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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