Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Vincent Botthof is a financial advisor currently registered with Synovus Securities, Inc. Richard has been in the industry since March 22, 1991 and has held prior roles with firms including Wachovia Securities, LLC, Southtrust Securities, LLC, Euro Brokers Maxcor Inc., Morgan Stanley Market Products Inc., Morgan Stanley & Co., Incorporated, Wall Street Investor Services, and Pioneer Funds Distributor, Inc. Richard holds Series 3, 7, and 63 licenses. Richard specializes in providing financial advice to individuals, businesses, and retirement plans.
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.
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.
Tax related services, administrative 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
AL
05/04/2005 - Present
Synovus Securities, Inc. (BIRMINGHAM AL)
MO
04/23/2005 - 05/23/2005
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
AL
07/10/1996 - 04/23/2005
SOUTHTRUST SECURITIES, LLC (BIRMINGHAM AL)
NY
11/22/1993 - 07/08/1996
EURO BROKERS MAXCOR INC. (NEW YORK NY)
NY
06/30/1992 - 09/16/1993
MORGAN STANLEY MARKET PRODUCTS INC. (NEW YORK NY)
NY
07/01/1992 - 08/30/1993
MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)
NY
05/20/1992 - 06/05/1992
WALL STREET INVESTOR SERVICES (NEW YORK NY)
MA
01/12/1990 - 06/10/1991
PIONEER FUNDS DISTRIBUTOR, INC. (BOSTON MA)
BC
Issued 02/05/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/1993
Series 3 - National Commodity Futures Examination
BC
Issued 12/16/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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