Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rosalie? Claim Your ProfileRosalie Ann Richards is a financial professional with over 20 years of experience in the industry. She is currently registered with Principal Securities, Inc. and has held previous positions with CUNA Brokerage Services, Inc., VFIC Securities, Inc., and Walnut Street Securities, Inc. Rosalie holds a Series 6 license, which allows her to sell investment company products and variable contracts, as well as Series 63 and Series 65 licenses. She is also registered to conduct business in Alaska, Colorado, Idaho, Iowa, Pennsylvania, and Washington. Rosalie's experience and qualifications allow her to offer a wide range of services to her clients, including financial planning, pension consulting, and educational seminars.
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.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
CO
08/17/2021 - Present
Principal Securities, Inc. (DENVER CO)
IA
05/31/2001 - 01/30/2017
CUNA BROKERAGE SERVICES, INC. (WAVERLY IA)
PA
07/07/2000 - 03/19/2001
VFIC SECURITIES, INC. (KING OF PRUSSIA PA)
CA
02/11/1999 - 01/18/2000
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
BC
Issued 11/18/2021
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 01/14/2009
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/29/1999
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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