Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Capitani is a financial advisor with Ameriprise Financial Services, LLC. Richard has been in the financial services industry since 2008. Richard holds Series 7, 24, 52, 53, 55, 57, and 65 licenses and has a Series 63 license. Richard has experience with a variety of clients including individuals, businesses, trusts/estates, pension and profit sharing plans, and charitable organizations. Richard also provides financial planning, portfolio management, and asset allocation services.
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.
Asset allocation services
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.
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2
MN
08/08/2023 - Present
Ameriprise Financial Services, LLC (MINNEAPOLIS MN)
MN
08/19/2022 - 06/06/2023
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (MENDOTA HTS MN)
MN
11/01/2011 - 06/30/2022
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
MN
01/03/2011 - 11/07/2011
WELLS FARGO ADVISORS, LLC (MINNEAPOLIS MN)
MN
03/12/2009 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (MINNEAPOLIS MN)
NY
05/10/1996 - 03/04/1997
WHALE SECURITIES CO., L.P. (NEW YORK NY)
IA
Issued 05/01/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/22/2009
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/18/2016
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/16/2016
Series 4 - Registered Options Principal Examination
BC
Issued 04/28/2016
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/04/2013
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 03/11/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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