Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Faatz is a financial advisor with over 20 years of experience in the industry. Richard has a wide range of experience with various financial institutions including U.S. Bancorp Investments, Inc., Cetera Investment Services LLC and Bluerock Capital Markets LLC. Richard is currently registered with Wells Fargo Clearing Services, LLC and holds Series 6, 7, 63, and 65 licenses as well as the SIE. Richard provides financial planning and investment management services to individuals, businesses, and 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.
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
MN
01/20/2023 - Present
Wells Fargo Clearing Services, LLC (WAYZATA MN)
MN
10/26/2016 - 01/26/2023
U.S. BANCORP INVESTMENTS, INC. (PLYMOUTH MN)
MN
11/28/2012 - 10/26/2016
CETERA INVESTMENT SERVICES LLC (MINNETONKA MN)
NY
08/01/2011 - 08/17/2012
BLUEROCK CAPITAL MARKETS LLC (NEW YORK NY)
NY
12/01/2010 - 06/20/2011
ICON INVESTMENTS (NEW YORK NY)
NJ
04/19/2010 - 12/02/2010
LIGHTSTONE SECURITIES, LLC (MAHWAH NJ)
MA
06/26/2009 - 11/06/2009
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
MA
09/28/2005 - 11/06/2009
MML DISTRIBUTORS, LLC (SPRINGFIELD MA)
MN
01/19/2001 - 09/22/2005
USALLIANZ INVESTOR SERVICES, LLC (MINNEAPOLIS MN)
IA
Issued 03/22/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/01/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/26/2002
Series 7 - General Securities Representative Examination
BC
Issued 01/18/2001
Series 6 - Investment Company Products/Variable Contracts 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
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