Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Phillips is a financial advisor with Wells Fargo Advisors Financial Network, LLC. Richard has been in the financial services industry since 1993. Richard is registered with the state of Arizona as well as 16 other states to provide investment advice. Richard holds Series 7, 9, 10, 31, and 66 licenses. Richard also holds the Securities Industry Essentials (SIE) license. Richard is a registered principal with Wells Fargo Advisors Financial Network, LLC. Richard has worked for Wells Fargo Advisors and its predecessors since 2006. Richard is a registered Investment Advisor in the state of Colorado. Prior to Wells Fargo Advisors, Richard was employed by Citigroup Global Markets Inc. and Eверен Securities, Inc. Richard’s services include financial planning, portfolio management for individuals and businesses, and investment consulting services to institutional clients.
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.
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2
AZ
11/18/2022 - Present
Wells Fargo Advisors Financial Network, LLC (TUCSON AZ)
CO
11/03/2006 - 11/18/2022
WELLS FARGO CLEARING SERVICES, LLC (LAKEWOOD CO)
CO
03/31/1994 - 11/17/2006
CITIGROUP GLOBAL MARKETS INC. (DENVER CO)
MO
01/04/1993 - 04/05/1994
EVEREN SECURITIES, INC. (ST. LOUIS MO)
BOTH
Issued 04/16/2001
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/14/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/26/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/22/2010
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/25/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 12/22/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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