Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Lucker is an active investment advisor representative with over 30 years of experience in the financial industry. Richard currently works for Wells Fargo Clearing Services, LLC and is registered with the Securities and Exchange Commission and the state of Texas. Richard has also held previous positions at other firms, including Morgan Stanley, Morgan Stanley & Co. Incorporated, Merrill Lynch, Pierce, Fenner & Smith Incorporated, Charles Schwab & Co., Inc., Buttonwood Securities, Inc., and Portfolio Asset Mgt/USA Financial Group Inc. Richard offers a variety of financial services to individuals and businesses, including financial planning, portfolio management, and investment consulting. Richard is dedicated to providing clients with the highest level of service and personalized advice.
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
NM
03/12/2014 - Present
Wells Fargo Clearing Services, LLC (RUIDOSO NM)
AZ
06/01/2009 - 02/26/2014
MORGAN STANLEY (TUCSON AZ)
OR
06/06/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (LAKE OSWEGO OR)
WA
07/06/1999 - 06/19/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BELLEVUE WA)
TX
12/18/1995 - 07/27/1999
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
NY
12/03/1993 - 12/15/1995
BUTTONWOOD SECURITIES, INC. (NEW YORK NY)
TX
12/11/1992 - 11/01/1993
PORTFOLIO ASSET MGT/USA FINANCIAL GROUP INC. (EL PASO TX)
IA
Issued 01/06/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/07/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/03/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 03/11/1994
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/28/1994
Series 7 - General Securities Representative Examination
BC
Issued 11/25/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/30/1992
Series 62 - Corporate Securities Limited 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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