Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Frank is a financial advisor with Empower Advisory Group, LLC. Richard has been in the financial industry since 1994 and has a broad range of experience. Richard is a Certified Financial Planner and holds a variety of licenses and certifications, including the Series 6, 7, 63, and 65 licenses. Richard is also registered with the state of Arizona. Previously, Richard was a financial advisor with Wells Fargo Clearing Services, LLC, Key Investment Services LLC, and HSBC Securities (USA) Inc. Richard specializes in retirement planning, investment planning, and financial planning. He is committed to helping clients reach 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.
Seminars designed to boost your financial literacy and investment knowledge.
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
CO
06/13/2024 - Present
Empower Advisory Group, LLC (GREENWOOD VILLAGE CO)
CA
09/18/2013 - 01/30/2018
WELLS FARGO CLEARING SERVICES, LLC (MISSION VIEJO CA)
NY
07/11/2012 - 09/30/2013
KEY INVESTMENT SERVICES LLC (LOCKPORT NY)
NY
10/26/2010 - 07/11/2012
HSBC SECURITIES (USA) INC. (BUFFALO NY)
NY
09/12/2007 - 10/20/2010
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC (WILLIAMSVILLE NY)
PA
04/15/2004 - 09/20/2005
LINCOLN FINANCIAL DISTRIBUTORS, INC. (RADNOR PA)
NY
10/03/2000 - 04/08/2004
OPPENHEIMERFUNDS DISTRIBUTOR, INC. (NEW YORK NY)
VA
01/20/2000 - 08/31/2000
CAPITAL BROKERAGE CORPORATION (GLEN ALLEN VA)
MA
03/02/1998 - 06/04/1999
FIS SECURITIES, INC. (BOSTON MA)
OH
01/05/1993 - 02/13/1998
KEY INVESTMENTS INC. (CLEVELAND OH)
NA
03/23/1992 - 12/31/1992
INDEPENDENT FINANCIAL SECURITIES, INC.
DE
04/06/1990 - 10/09/1992
PML SECURITIES COMPANY (NEWARK DE)
NA
11/25/1987 - 04/09/1988
J. W. GANT & ASSOCIATES, INC.
IA
Issued 12/26/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/02/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/30/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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