Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Zake is a financial advisor with over 20 years of experience in the industry. Richard is currently registered with Principal Asset Management and has previously worked for a number of other firms, including LPL Financial LLC, Securities America, Inc., and Triad Advisors LLC. Richard holds a Series 7, Series 24, Series 31, and Series 63 license. Richard provides financial advice and services to a range of clients, including high-net-worth individuals, corporations, and pension plans. Richard has a strong track record of success in the financial services industry.
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.
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.
Strategic management for diversified investment portfolios.
Spread lending management and advice; asset allocation services; providing model portfolios
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.
Fees calculated based on the performance of your investments relative to a benchmark.
Charge on a cost allocation basis to principal life
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2
WI
06/28/2024 - Present
Principal Asset Management (Appleton WI)
WI
07/29/2021 - 05/31/2022
LPL FINANCIAL LLC (APPLETON WI)
NE
02/03/2021 - 07/19/2021
SECURITIES AMERICA, INC. (LAVISTA NE)
GA
02/03/2021 - 07/19/2021
TRIAD ADVISORS LLC (ATLANTA GA)
GA
08/12/2019 - 07/19/2021
FSC SECURITIES CORPORATION (ATLANTA GA)
AZ
08/12/2019 - 07/19/2021
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
AZ
08/12/2019 - 07/19/2021
SAGEPOINT FINANCIAL, INC. (SCOTTSDALE AZ)
MN
08/12/2019 - 07/19/2021
WOODBURY FINANCIAL SERVICES, INC. (OAKDALE MN)
GA
07/02/2018 - 04/17/2019
G.F. INVESTMENT SERVICES, LLC (MCDONOUGH GA)
WI
04/25/2018 - 07/05/2018
PRIVATE CLIENT SERVICES, LLC (Appleton WI)
WI
03/28/2007 - 03/16/2018
INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)
WI
03/28/2007 - 03/16/2018
SII INVESTMENTS, INC. (APPLETON WI)
WI
07/14/2006 - 04/05/2007
PARK AVENUE SECURITIES LLC (KIMBERLY WI)
WI
07/06/2005 - 06/08/2006
CHASE INVESTMENT SERVICES CORP. (APPLETON WI)
IL
03/26/2003 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
09/20/2000 - 12/04/2001
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
02/26/1999 - 09/01/2000
PRUCO SECURITIES CORPORATION (NEWARK NJ)
IA
Issued 01/18/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/12/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/25/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 02/25/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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