Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Klotz is a financial advisor with over 34 years of experience in the industry. Richard Klotz is currently registered with Osaic Wealth, Inc. and has been with the firm since October 2006. Prior to joining Osaic Wealth, Inc., Richard Klotz was registered with NYLIFE SECURITIES INC. and SIGNATOR INVESTORS, INC. Richard Klotz holds the Series 6, Series 7, Series 63 and Series 65 licenses. Richard Klotz 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.
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.
A percentage of the total value of assets under management is charged.
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2
CA
12/11/2006 - Present
Osaic Wealth, Inc. (PLEASANT HILL CA)
CA
03/26/2004 - 11/13/2006
NYLIFE SECURITIES INC. (PLEASANT HILL CA)
MA
03/08/1990 - 03/02/2004
SIGNATOR INVESTORS, INC. (BOSTON MA)
MA
03/08/1990 - 05/01/1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
IA
Issued 04/23/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/04/1999
Series 7 - General Securities Representative Examination
BC
Issued 03/06/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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