Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Louis Trotta is a financial advisor with over 15 years of experience in the financial services industry. Richard Louis Trotta is registered with Wells Fargo Clearing Services, LLC in Chesterbrook, PA. Richard Louis Trotta previously worked at Citizens Securities, Inc., Santander Securities LLC, Sterne Agee Financial Services, Inc., Keystone Capital Corporation, Comprehensive Asset Management and Servicing, Inc., Wells Fargo Advisors, LLC, Raymond James Financial Services, Inc. and Wachovia Securities, LLC. Richard Louis Trotta holds Series 6, 7, 63, 66 and SIE licenses. Richard Louis Trotta provides financial planning, portfolio management for businesses, and portfolio management for individuals.
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
PA
04/19/2024 - Present
Wells Fargo Clearing Services, LLC (CHESTERBROOK PA)
PA
05/20/2022 - 04/19/2024
CITIZENS SECURITIES, INC. (NANTICOKE PA)
PA
05/31/2016 - 04/08/2022
SANTANDER SECURITIES LLC (Easton PA)
PA
01/02/2015 - 06/07/2016
STERNE AGEE FINANCIAL SERVICES, INC. (SCHNECKSVILLE PA)
PA
05/07/2013 - 01/09/2015
KEYSTONE CAPITAL CORPORATION (OREFIELD PA)
PA
12/05/2012 - 04/26/2013
COMPREHENSIVE ASSET MANAGEMENT AND SERVICING, INC. (ALLENTOWN PA)
PA
11/10/2010 - 10/16/2012
WELLS FARGO ADVISORS, LLC (ALLENTOWN PA)
PA
12/18/2008 - 10/20/2009
RAYMOND JAMES FINANCIAL SERVICES, INC. (EMMAUS PA)
PA
04/26/2007 - 12/17/2008
WACHOVIA SECURITIES, LLC (NORTHAMPTON PA)
BOTH
Issued 07/11/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/31/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/19/2008
Series 7 - General Securities Representative Examination
BC
Issued 04/25/2007
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
Not sure Richard Trotta is the right advisor for you? Invested Better is here to help.
