Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Ricci is a financial advisor with over 30 years of experience in the industry. Richard currently works with Wells Fargo Clearing Services, LLC, a large brokerage and wealth management firm with billions of dollars in assets under management. Richard is registered as a broker-dealer and investment advisor in multiple states, including Maryland, Washington, D.C., and California. Richard has a strong background in providing investment management services to individuals, families, businesses, and institutions.
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.
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.
Investment consulting services to institutional clients
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
MD
09/30/2021 - Present
Wells Fargo Clearing Services, LLC (BETHESDA MD)
DC
01/15/1997 - 01/03/2008
A. G. EDWARDS & SONS, INC. (WASHINGTON DC)
NY
03/25/1993 - 01/16/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 04/07/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/29/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2008
Series 3 - National Commodity Futures Examination
BC
Issued 03/22/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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