Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Lofgren is a financial advisor with over 24 years of experience in the industry. Richard is currently registered with Goldman Sachs & Co. LLC and is located in Dallas, TX. Richard has previously worked with other financial institutions including Charles Schwab & Co., Inc., J.P. Morgan Securities LLC, and Merrill Lynch. Richard holds multiple FINRA licenses, including Series 7, 63, 9, and 10, as well as a Series 65 license. Richard has a diverse background in financial services, with experience in providing investment advice to individuals, corporations, 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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
Execution charges, custody, management fee
1
2
TX
08/29/2024 - Present
Goldman Sachs & Co. LLC (Dallas TX)
TX
11/05/2020 - 08/29/2024
GOLDMAN SACHS CUSTODY SOLUTIONS (Dallas TX)
TX
10/23/2020 - 11/05/2020
GOLDMAN SACHS & CO. LLC (Dallas TX)
TX
01/04/2018 - 10/20/2020
CHARLES SCHWAB & CO., INC. (Plano TX)
TX
07/08/2010 - 12/07/2017
J.P. MORGAN SECURITIES LLC (DALLAS TX)
TX
08/01/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (DALLAS TX)
OK
12/07/2001 - 06/23/2010
MINSHALL & COMPANY INC. (TULSA OK)
NY
09/05/1996 - 12/13/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 10/04/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/19/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/06/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/27/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/1996
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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