Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Walters is a financial advisor with over 25 years of experience in the financial services industry. Richard has worked for Wells Fargo Advisors LLC and Wells Fargo Clearing Services, LLC and has a strong understanding of financial markets and investment strategies. Richard is dedicated to providing personalized financial advice to clients and helping them reach their financial goals. Richard is registered with the state of Wisconsin to provide both Broker-Dealer (BC) and Investment Advisor (IA) services, with a total of 8 approved state registrations, which includes an Investment Advisor registration in Wisconsin. He also holds a Series 7, 63 and 65 licenses, along with the SIE exam. Richard is an experienced financial advisor who is committed 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.
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2
WI
01/03/2011 - Present
Wells Fargo Clearing Services, LLC (MILWAUKEE WI)
WI
03/05/2002 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (MILWAUKEE WI)
MO
03/05/1997 - 03/12/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
WI
11/13/1995 - 12/31/1996
WELLINGTON INVESTMENT SERVICES CORP. (BROOKFIELD WI)
IA
Issued 07/07/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/26/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/23/1995
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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