Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Cavalla is a financial advisor at LPL Financial LLC. Richard has been in the financial services industry since 1995. Richard is registered with the state of California and has earned the Series 63, Series 65, Series 7, and Series 31 licenses. Richard is also a registered representative with LPL Financial LLC. Richard has experience working with individuals, families, small businesses, and non-profits.
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
CA
06/11/2020 - Present
LPL Financial LLC (FRESNO CA)
CA
06/14/2007 - 11/06/2007
XCU CAPITAL CORPORATION, INC. (FRESNO CA)
CA
05/29/2003 - 02/12/2007
CITICORP INVESTMENT SERVICES (REEDLEY CA)
NY
01/16/2003 - 05/30/2003
IFMG SECURITIES, INC. (PURCHASE NY)
NY
07/31/1995 - 11/26/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
CA
08/01/1994 - 11/29/1994
BARABAN SECURITIES, INC. (LOS ANGELES CA)
IA
Issued 07/19/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/29/1996
Series 31 - Futures Managed Funds Examination
BC
Issued 07/29/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
Not sure Richard Cavalla is the right advisor for you? Invested Better is here to help.
