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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 Policastro is a financial advisor with Wells Fargo Advisors Financial Network, LLC. Richard has been in the industry since 1998 and has held positions at several firms including UBS Financial Services Inc. and First Institutional Securities, L.L.C. Richard holds several licenses including Series 7, 63, 65, 3, 9, and 10 and has also taken the SIE exam. Richard's specializations include investment strategies, retirement planning, college savings, and estate planning. Richard is a Registered Representative of Wells Fargo Advisors Financial Network, LLC, Member SIPC.
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
NJ
06/20/2024 - Present
Wells Fargo Advisors Financial Network, LLC (RED BANK NJ)
NJ
11/14/2003 - 06/20/2024
WELLS FARGO CLEARING SERVICES, LLC (RED BANK NJ)
NJ
11/04/1998 - 11/26/2003
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NJ
05/18/1998 - 09/09/1998
FIRST INSTITUTIONAL SECURITIES, L.L.C. (WEST PATERSON NJ)
IA
Issued 12/01/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/08/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/11/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 04/22/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/19/2003
Series 3 - National Commodity Futures Examination
BC
Issued 04/28/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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