Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Rios is a financial advisor at Wells Fargo Clearing Services, LLC. Richard has over 30 years of experience in the financial services industry. Richard is a Certified Financial Planner and holds the Series 7, Series 31, Series 63, and Series 65 licenses. Richard provides investment consulting services to institutional clients as well as financial planning services to individuals. Richard has been registered with Wells Fargo Clearing Services, LLC since 2019. Prior to joining Wells Fargo Clearing Services, LLC, Richard was registered with Ameriprise Financial Services, Inc. Richard is dedicated to helping clients achieve their financial goals.
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
FL
10/07/2019 - Present
Wells Fargo Clearing Services, LLC (SUN CITY CENTER FL)
FL
04/13/2012 - 10/16/2019
AMERIPRISE FINANCIAL SERVICES, INC. (SUN CITY CENTER FL)
FL
06/01/2009 - 04/23/2012
MORGAN STANLEY SMITH BARNEY (TAMPA FL)
FL
03/20/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (TAMPA FL)
FL
10/01/1999 - 03/27/2008
WACHOVIA SECURITIES, LLC (SUN CITY CENTER FL)
NC
11/04/1998 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
11/13/1992 - 11/05/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 05/02/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/12/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/04/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 11/09/1992
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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