Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Keith Spatola has been in the financial services industry since August 14, 2000. Richard is currently registered as a Registered Representative with LPL Financial LLC in South Carolina and Texas. Prior to joining LPL Financial LLC, Richard was a Registered Representative with UVEST FINANCIAL SERVICES GROUP, INC. and WACHOVIA SECURITIES, LLC. Richard is also a Registered Investment Advisor in South Carolina and Texas. Richard holds the Series 6, Series 7, Series 63 and Series 65 licenses.
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.
Consulting and other non-discretionary advisory services
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
SC
10/09/2007 - Present
LPL Financial LLC (ROCK HILL SC)
SC
01/23/2006 - 10/09/2007
UVEST FINANCIAL SERVICES GROUP, INC. (ROCK HILL SC)
SC
10/01/2000 - 01/27/2006
WACHOVIA SECURITIES, LLC (ROCK HILL SC)
NC
08/15/2000 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
IA
Issued 04/28/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/17/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2004
Series 7 - General Securities Representative Examination
BC
Issued 08/14/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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