Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Pecce is a financial advisor with over 30 years of experience in the industry. He has worked for several prominent firms including Wells Fargo Clearing Services, LLC, Stifel, Nicolaus & Company, Incorporated, and currently, Raymond James & Associates, Inc. Richard holds multiple professional licenses and certifications. He is a Series 3, 7, 9, 10, 63, 65 licensed advisor and has also passed the SIE exam. Richard specializes in providing financial advice and portfolio management services to individuals, businesses, corporations, pension and profit-sharing plans, insurance companies, charitable organizations, and banking or thrift institutions.
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.
Please see note in schedule d - miscellaneous
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
OH
06/28/2019 - Present
Raymond James & Associates, Inc. (Centerville OH)
OH
06/11/2009 - 05/06/2019
WELLS FARGO CLEARING SERVICES, LLC (MIAMISBURG OH)
OH
02/01/2002 - 06/17/2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED (DAYTON OH)
MO
10/01/1999 - 02/04/2002
FIRST UNION SECURITIES, INC. (ST. LOUIS MO)
NC
04/17/1996 - 10/01/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
NY
10/12/1992 - 04/24/1996
J.C. BRADFORD & CO. (NEW YORK NY)
NJ
11/03/1989 - 10/15/1992
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
02/29/1988 - 11/30/1989
PRUDENTIAL-BACHE SECURITIES INC.
NY
02/28/1988 - 11/30/1989
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
IA
Issued 12/09/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/11/1988
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 08/27/1996
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/04/1988
Series 3 - National Commodity Futures Examination
BC
Issued 02/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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