Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rick? Claim Your ProfileRick Allen Nunley is a financial advisor registered with Wells Fargo Clearing Services, LLC, and has been in the industry since December 2000. Rick has experience at several other firms including Merrill Lynch, Pierce, Fenner & Smith Incorporated, Robert W. Baird & Co. Incorporated, UBS Financial Services Inc., Piper Jaffray & Co., Salomon Smith Barney Inc. and First Financial Equity Corporation. Rick is registered with the following states: Arizona, California, Colorado, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Massachusetts, Michigan, Mississippi, Missouri, New Jersey, New York, North Carolina, Ohio, Oklahoma, Oregon, South Dakota, Tennessee, Texas, and Washington. Rick holds the Series 7, Series 31, Series 63, and Series 65 licenses. Rick specializes in investments for individuals, businesses, corporations, charitable organizations, pension and profit sharing plans, insurance companies, and high-net-worth 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.
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.
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AZ
03/01/2019 - Present
Wells Fargo Clearing Services, LLC (SCOTTSDALE AZ)
AZ
08/24/2012 - 03/04/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (SCOTTSDALE AZ)
AZ
02/23/2007 - 09/04/2012
ROBERT W. BAIRD & CO. INCORPORATED (SCOTTSDALE AZ)
AZ
08/12/2006 - 03/07/2007
UBS FINANCIAL SERVICES INC. (SCOTTSDALE AZ)
AZ
01/14/2005 - 08/12/2006
PIPER JAFFRAY & CO. (SCOTTSDALE AZ)
NY
06/17/2002 - 01/19/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
05/16/2001 - 06/04/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
AZ
11/30/2000 - 05/18/2001
FIRST FINANCIAL EQUITY CORPORATION (SCOTTSDALE AZ)
IA
Issued 07/13/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/08/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/08/2007
Series 31 - Futures Managed Funds Examination
BC
Issued 11/29/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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