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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Klingman is a financial advisor at Wells Fargo Clearing Services, LLC. He has been in the financial services industry since 1987 and has been registered with the firm since 2008. Richard holds the Series 7, Series 31 and SIE licenses. He has experience working with a variety of clients, including high-net-worth individuals, corporations, and charitable organizations. He has a Certified Financial Planner designation and focuses on providing financial planning and investment consulting services to both individuals and businesses. Richard has also been a co-trustee for his sister's trust since 2013.
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
KS
02/25/2020 - Present
Wells Fargo Clearing Services, LLC (WICHITA KS)
KS
08/26/1992 - 01/03/2008
A. G. EDWARDS & SONS, INC. (WICHITA KS)
KS
12/04/1989 - 09/15/1992
CAREY, THOMAS & MACKEY, INC. (WICHITA KS)
AZ
11/19/1989 - 12/06/1989
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
NA
09/15/1988 - 11/19/1989
INTEGRATED RESOURCES EQUITY CORPORATION
NA
03/25/1987 - 09/17/1988
SOUTHMARK FINANCIAL SERVICES, INC.
BC
Issued 04/01/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/28/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 03/21/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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