Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rick? Claim Your ProfileRick Hargrove is a financial advisor with LPL Financial LLC. Rick has been in the financial services industry for over 35 years, with over 20 years of experience working at Waddell & Reed. Rick has held various roles in the industry, including a financial advisor, an insurance agent, and a business owner. Rick holds the Series 6, 7, 24, 26, 63 and 66 licenses and is registered with the following states: Arizona, Colorado, Florida, Idaho, Montana, Nebraska, Nevada, North Dakota, South Dakota, Texas, Utah, Washington and Wyoming. Rick also has 2 approved IA state registrations in Texas and Wyoming. Rick is committed to providing his clients with personalized financial advice and strategies to help them achieve their financial goals.
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.
Consulting and other non-discretionary advisory 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.
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2
WY
07/21/2021 - Present
LPL Financial LLC (CASPER WY)
WY
07/13/1998 - 07/21/2021
WADDELL & REED (CASPER WY)
DE
09/26/1996 - 07/09/1998
1717 CAPITAL MANAGEMENT COMPANY (NEWARK DE)
NJ
06/19/1986 - 09/11/1996
PRUCO SECURITIES CORPORATION (NEWARK NJ)
BOTH
Issued 04/29/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/13/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/03/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/15/1991
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/1998
Series 7 - General Securities Representative Examination
BC
Issued 06/18/1986
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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