RG
RG
Richard Guardiola
28 Years of Experience
New York, NY
1 DisclosureBroker
Richard Guardiola is a registered investment advisor at Raymond James & Associates, INC., based in New York, NY, with 28 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
320 Park Avenue, Fl 9, New York, NY, 10022
Get directionsHistory
Regulatory History (1)
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Employment Separation After Allegations
December 2022Employment History
Current Registrations
Raymond James & Associates, INC.
December 2022 - Present · 3 yrs 7 mos
Raymond James & Associates, INC.Broker
December 2022 - Present · 3 yrs 7 mos
Previous Registrations
Charles Schwab & CO., INC.Broker
May 2013 - January 2023 · 9 yrs 8 mos
Charles Schwab & CO., INC.
May 2013 - December 2022 · 9 yrs 7 mos
J.P. Morgan Securities LLCBroker
October 2012 - May 2013 · 7 mos
J.P. Morgan Securities LLC
October 2012 - May 2013 · 7 mos
Chase Investment Services CORP.
May 2009 - October 2012 · 3 yrs 5 mos
Chase Investment Services CORP.Broker
May 2009 - October 2012 · 3 yrs 5 mos
Wamu Investments, INC.
June 2006 - May 2009 · 2 yrs 11 mos
Wamu Investments, INC.Broker
May 2002 - May 2009 · 7 yrs
Dime Securities, INC.Broker
April 2002 - May 2002 · 1 mo
Dreyfus Service CorporationBroker
March 2002 - April 2002 · 1 mo
Citicorp Investment ServicesBroker
November 2000 - April 2002 · 1 yr 5 mos
Dime Securities, INC.Broker
November 1998 - November 2000 · 2 yrs
Painewebber IncorporatedBroker
November 1997 - October 1998 · 11 mos
State Registrations22 states
AZCACOCTDEFLGAIDILKSMAMSMTNCNHNJNVNYPASCTXVT
AdvisorBrokerBoth
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Exams
No exam information available for this advisor.