Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Randal Haupt is a financial professional with over 20 years of experience in the industry. Richard is currently registered with Tiaa-Cref Individual & Institutional Services, LLC and is licensed to provide financial advice in all 50 states, the District of Columbia and Puerto Rico. Richard has previously worked with firms including ALLSTATE FINANCIAL SERVICES, LLC, LPL FINANCIAL LLC, NATIONWIDE SECURITIES, LLC, 1717 CAPITAL MANAGEMENT COMPANY, and MONY SECURITIES CORPORATION. Richard is committed to providing his clients with personalized financial advice and 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.
Personalized portfolio management to meet individual financial objectives.
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.
A percentage of the total value of assets under management is charged.
Compensation from affiliates
1
2
TX
02/14/2022 - Present
Tiaa-Cref Individual & Institutional Services, LLC (Frisco TX)
TX
03/07/2016 - 11/04/2020
ALLSTATE FINANCIAL SERVICES, LLC (IRVING TX)
AZ
07/07/2010 - 03/19/2015
LPL FINANCIAL LLC (CASA GRANDE AZ)
AZ
08/01/2008 - 07/12/2010
NATIONWIDE SECURITIES, LLC (GILBERT AZ)
AZ
11/06/2003 - 08/01/2008
1717 CAPITAL MANAGEMENT COMPANY (GILBERT AZ)
NY
06/21/2000 - 05/15/2003
MONY SECURITIES CORPORATION (NEW YORK NY)
BC
Issued 06/23/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/06/2010
Series 7 - General Securities Representative Examination
BC
Issued 06/20/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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