Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Yoder is a financial advisor with over 20 years of experience in the industry. Richard is currently registered with LPL Financial LLC in Des Moines, IA and also has licenses in Alabama, California, Florida, Georgia, Illinois, Iowa, Kansas, Minnesota, Missouri, Nebraska, Texas, Utah. Richard has previously worked with Ameriprise Financial Services, Inc., Multi-Financial Securities Corporation, Wachovia Securities, LLC, UBS PaineWebber Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Principal Financial Securities,INC. Richard holds the Series 63, Series 65, Series 66, Series 7, and SIE licenses. Richard specializes in providing financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses, and portfolio management for individuals.
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.
Consulting and other non-discretionary advisory services
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
IA
06/12/2023 - Present
LPL Financial LLC (DES MOINES IA)
IA
03/10/2011 - 01/10/2020
AMERIPRISE FINANCIAL SERVICES, INC. (WEST DES MOINES IA)
CO
07/26/2004 - 10/28/2005
MULTI-FINANCIAL SECURITIES CORPORATION (GREENWOOD VILLAGE CO)
MO
03/28/2003 - 06/30/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NJ
12/03/1999 - 04/16/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
01/06/1995 - 12/08/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
TX
07/31/1992 - 01/06/1995
PRINCIPAL FINANCIAL SECURITIES,INC. (DALLAS TX)
BOTH
Issued 03/14/2011
Series 66 - Uniform Combined State Law Examination
IA
Issued 01/30/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/09/2011
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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