Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Groff is a financial advisor with Charles Schwab & Co., Inc. Richard has been in the financial services industry since 2000. Richard specializes in providing financial planning and investment advice to individuals and families. Richard is also a Vice President of the Atlanta Chapter of the American Association of Individual Investors. Richard holds the Series 7, 9, 10, 24, 63 and 65 licenses. Richard is registered to provide investment advice in 26 states. Richard is committed to providing his clients with the highest level of service and expertise.
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
GA
01/02/2019 - Present
Charles Schwab & CO., Inc. (Sandy Springs GA)
GA
09/08/2004 - 12/12/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CUMMING GA)
NJ
07/13/2000 - 08/10/2004
E*TRADE SECURITIES LLC (JERSEY CITY NJ)
IA
Issued 1/16/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 7/31/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/20/2010
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 8/25/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 2/21/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/12/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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