Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Botkin is a financial advisor registered with Stifel, Nicolaus & Company, Inc. Richard is located in ROSEVILLE, CA and has over 35 years of experience in the financial services industry. Richard has a wide range of experience providing financial advice and services to a diverse clientele. Richard specializes in portfolio management for individuals, businesses, and pooled investment vehicles.
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.
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.
1
2
CA
06/17/2015 - Present
Stifel, Nicolaus & Company, Inc. (ROSEVILLE CA)
CA
06/01/2009 - 06/16/2015
MORGAN STANLEY (ROSEVILLE CA)
CA
01/25/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (FOLSOM CA)
CA
02/17/2000 - 02/01/2008
WACHOVIA SECURITIES, LLC (FOLSOM CA)
NY
07/31/1993 - 02/22/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NY
02/15/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
10/23/1986 - 02/15/1988
E. F. HUTTON & COMPANY INC
IA
Issued 05/14/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/27/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/17/1986
Series 3 - National Commodity Futures Examination
BC
Issued 10/18/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Richard Botkin is the right advisor for you? Invested Better is here to help.
