Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard M. Sofiak is an investment professional with over 30 years of experience in the financial services industry. Richard is currently registered with Wells Fargo Clearing Services, LLC and is a Registered Representative in Illinois, Indiana, and Texas. Richard has a broad range of experience working with individual and institutional clients providing financial planning, portfolio management, investment consulting, and other advisory services.
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
IL
05/01/2015 - Present
Wells Fargo Clearing Services, LLC (ORLAND PARK IL)
IL
06/01/2009 - 05/13/2015
MORGAN STANLEY (CHICAGO IL)
IL
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (CHICAGO IL)
IN
08/04/2006 - 04/02/2007
MORGAN STANLEY DW INC. (MERRILVILLE IN)
IN
05/22/1991 - 08/09/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (MERRILLVILLE IN)
NA
04/18/1990 - 04/22/1991
IDS LIFE INSURANCE COMPANY
MN
03/22/1988 - 04/22/1991
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NA
04/18/1990 - 08/08/1990
AMERICAN EXPRESS FINANCIAL ADVISORS INC.
MN
03/22/1988 - 08/08/1990
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
IA
Issued 04/28/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/26/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/1988
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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