Richard Schaefer (CRD# 1048695) is an Investment Advisor Representative working at Rbc Capital Markets, LLC in Tucson, AZ and has over 35 years of experience in the finance industry.
CRD# 1445361
First Allied Advisory Services, Inc.
Score
103
CRD# 2955807
Merrill Lynch, Pierce, Fenner & Smith Incorporated
Score
98
CRD# 4840087
Lpl Financial LLC
Score
96
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Rbc Capital Markets Corporation | Tucson, AZ | Mar 2008 - Current | 9 |
| Rbc Dain Rauscher Inc. | Tucson, AZ | Mar 1998 - Mar 2008 | 10 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S63 | Uniform Securities State Law Examination | Jul 1982 |
| S66 | NASAA Uniform Combined State Law Examination | Feb 2006 |
Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.
Reported Disclosure Event:- Customer Dispute
- AZ
- WV
- AR
- CA
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Total Assets Under Management76,274MILLIONS
-
Total Number of Accounts192,243ACCOUNTS
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Average Account Value$396,757
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV
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