Richard Charles Guardiola

Employer firm

Raymond James & Associates, Inc. CRD 705

$501B regulatory AUM 2,231 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 05/2013 → 12/2022
  Charles Schwab & Co., Inc.
  New York City, NY
• 05/2013 → 12/2022
  Charles Schwab Bank
  New York City, NY
• 12/2022 → Present
  Raymond James & Associates, Inc.
  New York, NY

Previous Registrations

• 2013-05-07 → 2022-12-31
  Charles Schwab & Co., Inc.
  New York City, NY
  New York City, NY
  New York City, NY
• 2012-10-01 → 2013-05-01
  J.P. Morgan Securities Llc
  Sunnyside, NY
  Woodside, NY
  Sunnyside, NY
• 2009-05-02 → 2012-10-01
  Chase Investment Services Corp.
  Sunnyside, NY
  Forest Hills, NY
  Maspeth, NY
  Woodside, NY
  Queens, NY
• 2006-06-15 → 2009-05-02
  Wamu Investments, Inc.
  Maspeth, NY
  Rego Park, NY
  Flushing, NY
  Flushing, NY
  Bayside, NY
  Little Neck, NY
  Oakland Gardens, NY
  Ridgewood, NY
  Woodhaven, NY
  Sunnyside, NY
  Woodside, NY
  Corona, NY
  Forest Hills, NY
  Astoria, NY
  Astoria, NY
  Astoria, NY
  Sunnyside, NY

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-08-18
• S63 Uniform Securities Agent State Law Examination
  1997-11-17