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Richard William Stein

THE Leaders Group, Inc.

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About Richard William Stein

Richard Stein has been in the financial services industry since November 29, 1988. Richard is currently registered with The Leaders Group, Inc. and holds licenses for Series 6, 7, 26, 63, and SIE. Richard has previously worked with Wells Fargo Clearing Services, LLC, Pruco Securities, LLC., Hartford Equity Sales Company Inc., Chubb Securities Corporation, Private Ledger Financial Services, Incorporated, and AMEV Investors, Inc. Richard has a strong background in the financial services industry and is committed to providing his clients with the highest level of service.

Firm Information

Richard Stein is currently registered with THE Leaders Group, Inc.. THE Leaders Group, Inc. is a Corporation registered in 52 states and the District of Columbia, with an approved SEC registration. Formed on July 14, 1994, the firm has a history of providing financial services.

Not reported

Assets Under Management

Not reported

Total Clients

854

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Richard Stein’s Registration & Firm History

CO

10/10/2019 - Present

THE Leaders Group, Inc. (LITTLETON CO)

AZ

07/09/2014 - 10/16/2019

WELLS FARGO CLEARING SERVICES, LLC (SCOTTSDALE AZ)

NJ

01/04/2013 - 07/03/2014

PRUCO SECURITIES, LLC. (NEWARK NJ)

AZ

01/06/1998 - 01/02/2013

HARTFORD EQUITY SALES COMPANY INC. (SCOTTSDALE AZ)

IN

03/26/1990 - 12/05/1997

CHUBB SECURITIES CORPORATION (FORT WAYNE IN)

NA

01/21/1987 - 05/05/1988

PRIVATE LEDGER FINANCIAL SERVICES, INCORPORATED

NA

08/08/1986 - 09/23/1986

AMEV INVESTORS, INC.

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Licenses & Designations

BC

Issued 08/18/1986

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 02/16/1998

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/21/1997

Series 7 - General Securities Representative Examination

BC

Issued 08/07/1986

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard William Stein.
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