Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Waggener is a financial advisor with Stifel, Nicolaus & Company, Inc. Richard has been in the financial industry since December 1996. Richard currently works in the Palm Beach Gardens, FL office of Stifel, Nicolaus & Company, Inc. Stifel, Nicolaus & Company, Inc. is a registered investment advisor with the Securities and Exchange Commission. Stifel provides a range of financial services including financial planning, portfolio management, pension consulting, and educational seminars. Richard is licensed to provide financial advice in 25 states and has passed the Series 3, 63, 7, 9, 10, and 65 exams.
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.
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.
1
2
FL
07/31/2007 - Present
Stifel, Nicolaus & Company, Inc. (PALM BEACH GARDENS FL)
FL
12/11/1996 - 07/31/2007
RYAN BECK & CO. (PALM BEACH GARDENS FL)
IA
Issued 05/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/20/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/18/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 03/23/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/16/2009
Series 3 - National Commodity Futures Examination
BC
Issued 12/10/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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