Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Sample is an investment advisor representative with over 30 years of experience in the financial services industry. Richard is currently registered with Wells Fargo Clearing Services, LLC. Richard has held previous positions at Morgan Stanley, Trenwith Securities, LLC, The Seidler Companies Incorporated, Hagerty, Stewart & Associates, Inc., Wells Fargo Van Kasper, LLC, Cruttenden Roth Incorporated, Related Equities Corporation, PaineWebber Incorporated, Corporate Benefit Securities, Inc., Shearson Lehman Hutton Inc., and E. F. Hutton & Company Inc. Richard is licensed to offer investment advice and securities brokerage services in California, Idaho, and Texas. Richard has a strong track record of providing financial advice to individuals, families, 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.
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
ID
10/20/2023 - Present
Wells Fargo Clearing Services, LLC (BOISE ID)
CA
07/02/2013 - 01/27/2020
MORGAN STANLEY (SAN LUIS OBISPO CA)
MA
07/15/2003 - 07/15/2004
TRENWITH SECURITIES, LLC (BOSTON MA)
CA
03/26/2001 - 07/14/2003
THE SEIDLER COMPANIES INCORPORATED (LOS ANGELES CA)
CA
03/23/2001 - 07/02/2001
HAGERTY, STEWART & ASSOCIATES, INC. (SAN DIEGO CA)
CA
07/16/1996 - 03/30/2001
WELLS FARGO VAN KASPER, LLC (SAN FRANCISCO CA)
CA
07/09/1994 - 07/08/1996
CRUTTENDEN ROTH INCORPORATED (NEWPORT BEACH CA)
NY
10/18/1993 - 06/13/1994
RELATED EQUITIES CORPORATION (NEW YORK NY)
NJ
03/19/1992 - 11/16/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
CA
05/29/1990 - 05/07/1991
CORPORATE BENEFIT SECURITIES, INC. (MISSION VIEJO CA)
NY
05/14/1988 - 06/13/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
NA
08/26/1982 - 05/14/1988
E. F. HUTTON & COMPANY INC
BOTH
Issued 07/25/2013
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/01/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/10/1998
Series 4 - Registered Options Principal Examination
BC
Issued 03/14/1995
Series 24 - General Securities Principal Examination
BC
Issued 12/08/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/2013
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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