Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Trause is a financial advisor with Alliance-ONE Investments, LLC based in Tulsa, Oklahoma. Richard has been in the financial services industry since 1991. Richard has experience in a variety of financial products and services, including investment company products, variable contracts, and securities. Richard is registered with FINRA as a Registered Representative and holds the Series 6, 7, 63, 65, 66, and 26 licenses. Richard is also a registered Investment Advisor.
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.
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.
1
2
OK
05/24/2023 - Present
Alliance-ONE Investments, LLC (Tulsa OK)
NY
04/13/2006 - 10/18/2006
AMERIPRISE FINANCIAL SERVICES, INC. (MITCHEL FIELD NY)
NA
12/01/1994 - 12/31/1994
ROYAL ALLIANCE ASSOCIATES, INC.
NA
10/23/1991 - 12/07/1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
05/15/1991 - 09/26/1991
RICKEL & ASSOCIATES, INC.
BC
Issued 02/06/2021
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/16/2021
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 04/11/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/25/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 05/24/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 06/29/2020
SIE - Securities Industry Essentials Examination
BC
Issued 04/12/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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