Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Graham is an investment advisor representative with Wedbush Securities Inc.. Richard has been in the industry for over 30 years and is registered in 24 states. Richard is a Series 7, Series 63, and Series 65 licensed professional and also has earned the Securities Industry Essentials (SIE) certification.
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
09/08/2006 - Present
Wedbush Securities Inc. (LOS ANGELES CA)
WA
08/12/2006 - 09/21/2006
UBS FINANCIAL SERVICES INC. (SEATTLE WA)
WA
11/16/1998 - 08/12/2006
PIPER JAFFRAY & CO. (SEATTLE WA)
MN
09/03/1997 - 11/16/1998
U.S. BANCORP INVESTMENTS, INC. (SAINT PAUL MN)
OR
04/09/1990 - 09/03/1997
U.S. BANCORP SECURITIES (PORTLAND OR)
NA
11/23/1988 - 12/31/1990
U.S. FINANCIAL SECURITIES, INC.
IA
Issued 12/03/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/05/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/19/1988
Series 7 - General Securities 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
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, 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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