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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 Spraker is a financial advisor with over 40 years of experience in the industry. Richard is registered with Wells Fargo Clearing Services, LLC and currently holds licenses in California, Colorado, and Texas. Richard is active in several states across the country. Richard has a strong background in securities and investment management, with experience in various financial markets. Richard specializes in providing investment consulting services to institutional clients, as well as financial planning for both individuals and businesses. Richard has a strong reputation for providing personalized and comprehensive financial advice.
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.
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.
Investment consulting services to institutional clients
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
CO
07/02/2014 - Present
Wells Fargo Clearing Services, LLC (DURANGO CO)
NY
09/21/1993 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MO
09/04/1990 - 09/23/1993
EVEREN SECURITIES, INC. (ST. LOUIS MO)
NA
05/11/1982 - 09/04/1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
NA
10/13/1969 - 10/26/1972
SHEARSON, HAMMILL & CO., INCORPORATED
BC
Issued 05/22/1980
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 01/19/1984
Series 4 - Registered Options Principal Examination
BC
Issued 07/08/1974
Series 12 - NYSE Branch Manager Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/12/1981
Series 5 - Interest Rate Options Examination
BC
Issued 10/10/1969
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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