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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Pimentel is a financial advisor with over 19 years of experience in the financial industry. He is currently registered with Wells Fargo Clearing Services, LLC and has been with the firm since November 2016. Prior to this, he was employed by Wachovia Bank, N.A. and Wells Fargo Advisors LLC. Richard is licensed to provide financial advice in multiple states, including California, Connecticut, Delaware, Florida, Maine, Massachusetts, Minnesota, Nebraska, Nevada, New Jersey, New York, North Carolina, and Pennsylvania. He is also a Registered Representative with the Financial Industry Regulatory Authority (FINRA). Richard's expertise is in providing investment consulting services to institutional clients, financial planning, pension consulting, and portfolio management for businesses and individuals.
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
12/23/2019 - Present
Wells Fargo Clearing Services, LLC (TARPON SPRINGS FL)
NY
12/13/2005 - 07/06/2010
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
11/10/2004 - 11/18/2005
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
NY
01/29/2002 - 11/15/2002
CITICORP INVESTMENT SERVICES (LONG ISLAND CITY NY)
BOTH
Issued 12/20/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/16/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/2011
Series 7 - General Securities Representative Examination
BC
Issued 01/28/2002
Series 6 - Investment Company Products/Variable Contracts 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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