Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Chaffee is a financial advisor with over 49 years of experience in the industry. Richard is currently registered with M Holdings Securities, Inc. in Minnesota and has previously been registered with Northwestern Mutual Investment Services, LLC and Phoenix Equity Planning Corporation. Richard is a Chartered Financial Consultant and holds Series 1, 7TO, and SIE licenses. Richard specializes in financial planning, pension consulting, educational seminars, selection of other advisors, and portfolio management for businesses and individuals.
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.
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.
A percentage of the total value of assets under management is charged.
1
2
MN
11/05/2013 - Present
M Holdings Securities, Inc. (MINNETONKA MN)
MN
07/18/2008 - 10/02/2009
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MINNETONKA MN)
MN
09/15/2000 - 06/19/2008
M HOLDINGS SECURITIES, INC. (MINNETONKA MN)
CT
08/30/1993 - 09/18/2000
W. S. GRIFFITH & CO., INC. (HARTFORD CT)
CT
05/10/1982 - 08/30/1993
PHOENIX EQUITY PLANNING CORPORATION (HARTFORD CT)
NA
02/24/1977 - 04/23/1982
MONY SALES, INC.
NA
02/24/1977 - 04/23/1982
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
NA
03/27/1973 - 03/05/1977
PENN MUTUAL EQUITY SERVICES, INC.
BC
Issued 02/01/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/1973
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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