Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Raymond Bansa is a financial advisor with over 20 years of experience in the industry. Richard is currently registered with RBC Capital Markets, LLC in the state of Minnesota and California. Richard has a strong track record of providing financial advice to individuals and businesses, with a focus on investments and retirement planning. Richard is also a registered principal, which means they are qualified to oversee the activities of other financial advisors. Richard has passed a number of securities exams, including Series 7, Series 6, Series 63, Series 65, and Series 24. Richard's previous employers include BANC ONE SECURITIES CORPORATION and FIRST CHICAGO NBD INVESTMENT SERVICES, INC.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
MN
09/23/2003 - Present
RBC Capital Markets, LLC (MINNEAPOLIS MN)
IL
02/01/1999 - 04/27/1999
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
IL
01/11/1999 - 02/01/1999
FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CHICAGO IL)
IL
04/16/1997 - 06/26/1998
FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CHICAGO IL)
BC
Issued 10/31/2003
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/29/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/14/2019
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/31/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/22/2003
Series 7 - General Securities Representative Examination
BC
Issued 04/15/1997
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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