Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Bratten is a financial professional with over 20 years of experience in the financial services industry. Richard has been registered with Northwestern Mutual Investment Services, LLC since 2004. Before that, Richard was registered with Clark Securities, Inc., Clark-Bardes Securities, Inc., and Benefitcorp Equities, Inc. Richard holds the Series 6, Series 63 and SIE securities licenses. Richard is registered in Colorado, Kansas, Montana, New Mexico, and Wyoming. Richard is based in Bozeman, MT.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
MT
09/10/2004 - Present
Northwestern Mutual Investment Services, LLC (BOZEMAN MT)
NC
07/02/2001 - 07/28/2004
CLARK SECURITIES, INC. (GREENSBORO NC)
TX
11/24/1999 - 07/02/2001
CLARK-BARDES SECURITIES, INC. (DALLAS TX)
CO
10/04/1999 - 10/11/1999
BENEFITSCORP EQUITIES, INC. (GREENWOOD VILLAGE CO)
BC
Issued 08/11/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/01/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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