Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard R Fife is a financial advisor with over 30 years of experience in the industry. Richard has a wide range of experience, having worked for several prominent firms, including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Lehman Brothers Inc., and Smith Barney Shearson Inc. Richard currently works as a registered representative for Charles Schwab & Co., Inc. He is registered with the Financial Industry Regulatory Authority (FINRA) as a General Securities Principal and holds Series 3, 7, 9, 10, 24, 63 and SIE licenses. Richard is also registered to sell securities in all 50 states, as well as Puerto Rico and the Virgin Islands. Richard specializes in providing financial planning and investment advisory services to individuals and families. Richard is committed to providing his clients with personalized financial guidance to help them achieve their financial goals.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
AZ
09/30/1993 - Present
Charles Schwab & CO., Inc. (Phoenix AZ)
AZ
01/24/2017 - 11/10/2017
OPTIONSXPRESS, INC. (PHOENIX AZ)
NY
07/31/1993 - 09/16/1993
SMITH BARNEY SHEARSON INC. (NEW YORK NY)
NY
04/07/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
10/23/1989 - 04/07/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
04/18/1989 - 10/09/1989
CENPAC SECURITIES CORP.
BC
Issued 05/01/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/22/2013
Series 24 - General Securities Principal Examination
BC
Issued 10/14/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/2017
Series 3 - National Commodity Futures Examination
BC
Issued 04/15/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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