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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 Shaum is a financial advisor with Fidelity Personal and Workplace Advisors. Richard has been in the industry since May 31, 2011. Richard is licensed in California, Colorado, Massachusetts, Nevada, Texas, and Utah. Richard holds the Series 6, 7, 9, 10, 63, and SIE licenses. Richard's areas of expertise include Financial Planning, Portfolio Management for Individuals, and Portfolio Management for Businesses.
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.
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.
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
CA
09/09/2022 - Present
Fidelity Personal AND Workplace Advisors (FOLSOM CA)
CO
06/16/2011 - 07/05/2013
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (GREENWOOD VLG CO)
CO
02/24/2011 - 04/06/2011
FIRST INVESTORS CORPORATION (DENVER CO)
BC
Issued 03/09/2011
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/24/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/13/2015
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/30/2013
Series 7 - General Securities Representative Examination
BC
Issued 02/23/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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