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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Straub is a financial advisor with Fidelity Personal and Workplace Advisors. Richard has been in the industry since 1992. Richard is a registered investment advisor in Minnesota and Texas and is also registered as a broker-dealer in 34 states. Richard holds a Series 7, 9, 10, 24, 63, and 66.
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.
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.
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2
MN
02/03/2021 - Present
Fidelity Personal AND Workplace Advisors (OSSEO MN)
NY
12/08/2006 - 05/03/2007
IFMG SECURITIES, INC. (PURCHASE NY)
MN
02/06/2006 - 12/31/2006
TCF INVESTMENTS, INC. (MINNEAPOLIS MN)
MN
01/31/2005 - 08/31/2005
NORTHLAND SECURITIES, INC. (MINNEAPOLIS MN)
NY
05/14/2001 - 01/25/2005
MMC SECURITIES CORP. (NEW YORK NY)
IL
10/03/2000 - 01/26/2001
ONLINE BROKERAGE SOLUTIONS, INC. (CHICAGO IL)
MN
06/28/2000 - 10/02/2000
STOCKWALK.COM, INC. (MINNEAPOLIS MN)
MN
04/12/2000 - 08/01/2000
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
04/12/2000 - 08/01/2000
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
MN
06/28/2000 - 06/28/2000
MILLER, JOHNSON & KUEHN, INCORPORATED (MINNEAPOLIS MN)
NE
02/24/1992 - 03/08/2000
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
CO
10/10/1991 - 12/18/1991
KOBER FINANCIAL CORP. (ENGLEWOOD CO)
BOTH
Issued 08/09/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/15/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/21/2003
Series 4 - Registered Options Principal Examination
BC
Issued 08/18/2000
Series 24 - General Securities Principal Examination
BC
Issued 12/01/1993
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/09/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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