Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Michael Rinaldi is a financial professional with over 25 years of experience in the industry. Richard is currently registered with Wells Fargo Clearing Services, LLC, a firm with a long history of providing investment services to individuals, families, and businesses. Before joining Wells Fargo Clearing Services, LLC, Richard worked at Santander Securities LLC, BNY Mellon Capital Markets, LLC, FTN Financial Securities Corp., and Spear, Leeds & Kellogg, L.P., accumulating a wealth of experience in various aspects of the financial services industry. Richard has a strong commitment to helping clients achieve their financial goals and providing personalized advice tailored to their individual needs.
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
FL
09/23/2022 - Present
Wells Fargo Clearing Services, LLC (SEMINOLE FL)
NJ
12/09/2019 - 09/13/2022
SANTANDER SECURITIES LLC (JACKSON NJ)
NJ
10/15/2008 - 05/31/2019
BNY MELLON CAPITAL MARKETS, LLC (FREEHOLD NJ)
NJ
01/07/2005 - 08/21/2008
FTN FINANCIAL SECURITIES CORP (JERSEY CITY NJ)
NY
12/24/1996 - 01/07/2005
SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)
BC
Issued 03/16/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/02/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/15/1997
Series 7 - General Securities 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
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