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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 Adams is an investment advisor representative currently registered with Wells Fargo Clearing Services, LLC, located in Easton, PA. Richard has been in the financial services industry since May 2, 1993. Richard has passed the Series 63, 65, 7, 8, 9, 10, and SIE exams. In addition to his current registration with Wells Fargo, Richard has held previous registrations with Ryan, Beck & Co., LLC., Gruntal & Co., L.L.C., Prudential Securities Incorporated, Olde Discount Corporation and L.C. Wegard & Co., Inc. Richard specializes in offering investment consulting services to institutional clients, financial planning, pension consulting, selection of other advisors, portfolio management for businesses and portfolio management for individuals.
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
PA
12/19/2003 - Present
Wells Fargo Clearing Services, LLC (EASTON PA)
NJ
04/25/2002 - 08/02/2002
RYAN, BECK & CO., LLC. (FLORHAM PARK NJ)
NY
10/25/1996 - 05/15/2002
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
01/19/1996 - 09/19/1996
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
MI
05/05/1993 - 02/08/1996
OLDE DISCOUNT CORPORATION (DETROIT MI)
NY
02/24/1993 - 04/01/1993
L.C. WEGARD & CO., INC. (NEW YORK NY)
IA
Issued 11/24/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/26/1993
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 04/04/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/22/1993
Series 7 - General Securities 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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