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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 Lawrence Fain is a financial advisor at Raymond James Financial Services Advisors, Inc. located in San Francisco, California. Richard has been in the financial industry for over 30 years, beginning in 1985. Richard is a Certified Financial Planner® professional and holds Series 7, 9, 10, 24, 63, and 66 licenses. Richard has experience working with clients including individuals, families, small businesses, and institutions. Richard specializes in providing financial advice and investment management services.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
CA
04/27/2021 - Present
Raymond James Financial Services Advisors, Inc. (SAN FRANCISCO CA)
CA
04/13/2012 - 03/21/2014
MORGAN STANLEY (SAN FRANCISCO CA)
CA
04/19/2007 - 04/25/2012
CHARLES SCHWAB & CO., INC. (SAN FRANCISCO CA)
NA
09/05/2002 - 12/31/2006
RAYMOND JAMES FINANCIAL SERVICES, INC. (ST. CROIX, VIRGIN ISLANDS )
TX
12/22/2000 - 09/13/2002
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
TX
07/25/1985 - 07/28/2000
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
BOTH
Issued 10/27/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/09/1986
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 05/19/2000
Series 24 - General Securities Principal Examination
BC
Issued 02/17/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/20/1985
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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