Unclaimed
Richard Wayne Hobbs is a financial advisor with over 29 years of experience in the industry. Richard is currently registered with Wells Fargo Clearing Services, LLC and holds both Series 63 and Series 65 licenses. Richard's expertise includes a broad range of financial services, including investment consulting, financial planning, and portfolio management. In addition to his current position at Wells Fargo Clearing Services, LLC, Richard has also previously held roles at Wachovia Securities, Inc., J.C. Bradford & Co., and PaineWebber Incorporated. Richard is dedicated to providing exceptional financial guidance to clients across various sectors, including individuals, corporations, and charitable organizations.
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
TN
09/24/2015 - Present
Wells Fargo Clearing Services, LLC (JOHNSON CITY TN)
NC
06/27/2000 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
NY
08/03/1995 - 06/29/2000
J.C. BRADFORD & CO. (NEW YORK NY)
NJ
12/17/1993 - 06/10/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 01/03/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/03/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/16/1993
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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