Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Scafa is a financial advisor with over 30 years of experience in the industry. Richard is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in both Nevada and Texas. Richard has been a Registered Representative since 1986 and holds licenses for Series 7, 9, 10, 63 and 66 securities exams. Prior to joining Merrill Lynch, Richard was associated with Transamerica Financial Advisors, Inc., Morgan Stanley, Wells Fargo Advisors, LLC, Barron Chase Securities, Inc., Chatfield Dean & Co., Inc., Lehman Brothers Inc., E. F. Hutton & Company Inc, Integrated Resources Equity Corporation and John Hancock Distributors, Inc.. Richard is a financial advisor experienced with a variety of clients including high-net-worth individuals, corporations, and institutional clients. Richard's areas of expertise include investment management, financial planning and retirement planning.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NV
07/12/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LAS VEGAS NV)
NV
07/02/2015 - 10/08/2015
TRANSAMERICA FINANCIAL ADVISORS, INC (LAS VEGAS NV)
NV
11/04/2011 - 10/06/2014
MORGAN STANLEY (LAS VEGAS NV)
CA
04/18/1994 - 10/03/2011
WELLS FARGO ADVISORS, LLC (SAN DIEGO CA)
FL
11/01/1993 - 04/11/1994
BARRON CHASE SECURITIES, INC. (BOCA RATON FL)
CO
04/21/1992 - 10/29/1993
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
NY
05/14/1988 - 05/01/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
01/01/1988 - 05/14/1988
E. F. HUTTON & COMPANY INC
NA
05/07/1987 - 11/05/1987
INTEGRATED RESOURCES EQUITY CORPORATION
NA
07/29/1986 - 05/29/1987
JOHN HANCOCK DISTRIBUTORS, INC.
NA
01/21/1986 - 06/25/1986
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 11/05/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/13/1986
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 09/20/1989
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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