Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Charles Richards is a financial advisor registered with Osaic Wealth, Inc.. William has been in the securities industry since 1982. William has held previous registrations with TRANSAMERICA FINANCIAL ADVISORS, INC, INVEST FINANCIAL CORPORATION, INTERSECURITIES, INC., TRANSAMERICA CAPITAL, INC., PW SECURITIES, INC., TRAVELERS EQUITIES SALES, INC., ST. PAUL INVESTORS, INC. and EQUITY SERVICES, INC.. William is currently registered in Idaho and Utah. William is also registered as an Investment Advisor Representative in Utah. William is licensed through the Series 63, 66, 7, 1, 24, and SIE exams.
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.
1
2
UT
07/08/2024 - Present
Osaic Wealth, Inc. (Salt Lake City UT)
UT
03/22/2016 - 07/02/2024
TRANSAMERICA FINANCIAL ADVISORS, INC (Salt Lake City UT)
UT
03/03/2009 - 03/16/2016
INVEST FINANCIAL CORPORATION (DRAPER UT)
UT
04/01/1991 - 03/05/2009
INTERSECURITIES, INC. (MIDVALE UT)
CO
03/24/2000 - 10/05/2001
TRANSAMERICA CAPITAL, INC. (DENVER CO)
NA
03/21/1990 - 04/01/1991
PW SECURITIES, INC.
NA
01/11/1988 - 10/07/1989
PW SECURITIES, INC.
NA
08/26/1986 - 02/10/1988
TRAVELERS EQUITIES SALES, INC.
NA
04/14/1983 - 12/28/1984
ST. PAUL INVESTORS, INC.
NA
02/21/1980 - 07/16/1982
EQUITY SERVICES, INC.
BOTH
Issued 06/20/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/14/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/29/1990
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/24/1990
Series 7 - General Securities Representative Examination
BC
Issued 02/02/1980
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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