Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Leishman is a financial advisor with over 20 years of experience in the financial services industry. Richard currently works as a financial advisor with Wells Fargo Clearing Services, LLC. Richard is registered with the Securities and Exchange Commission (SEC) and with the states of Maryland and Virginia. Richard is also licensed to provide investment advice. Previous to working at Wells Fargo Clearing Services, LLC, Richard worked at Morgan Stanley, UBS Financial Services Inc., Banc of America Investment Services, Inc., and Morgan Stanley DW Inc. Richard has passed a variety of exams including the Series 3, Series 6, Series 7, Series 9, Series 10, Series 63, and Series 65. Richard is also licensed to provide investment advice. Richard is a Registered Representative of Wells Fargo Clearing Services, LLC and is a licensed investment advisor. Richard specializes in providing financial advice to a variety of clients, including high-net-worth individuals, corporations, and institutions. Richard is committed to providing his clients with personalized financial advice and services that help them achieve their financial goals.
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
MD
04/19/2023 - Present
Wells Fargo Clearing Services, LLC (URBANA MD)
MD
06/26/2012 - 04/19/2023
MORGAN STANLEY (Rockville MD)
DC
08/31/2006 - 06/08/2011
UBS FINANCIAL SERVICES INC. (WASHINGTON DC)
MD
04/16/2003 - 08/08/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (CHEVY CHASE MD)
NY
11/28/1997 - 03/31/2003
MORGAN STANLEY DW INC. (PURCHASE NY)
BC
Issued 12/10/1997
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 12/09/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/13/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/26/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/2010
Series 3 - National Commodity Futures Examination
BC
Issued 11/25/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Richard Leishman is the right advisor for you? Invested Better is here to help.
