Richard James Rios

Employer firm

Wells Fargo Clearing Services, LLC CRD 19616

$671B regulatory AUM 5,302 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• INVESTMENT CONSULTING SERVICES TO INSTITUTIONAL CLIENTS

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

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

Current Employers

Employment History

• 04/2012 → 10/2019
  Ameriprise Financial Services, Inc.
  Sarasota, FL
• 10/2019 → Present
  Wells Fargo Clearing Services, Llc
  Tampa, FL

Previous Registrations

• 2012-04-13 → 2019-10-16
  Ameriprise Financial Services, Llc
  Sarasota, FL
  Sun City Center, FL
• 2009-06-01 → 2012-04-23
  Morgan Stanley
  Tampa, FL
  Tampa, FL
• 2008-03-24 → 2009-06-01
  Morgan Stanley & Co. Llc
  Tampa, FL
• 1999-10-01 → 2008-03-27
  Wells Fargo Clearing Services, Llc
  Sun City Center, FL
  Sun City Center, FL

Exams

• S65 Uniform Investment Adviser Law Examination
  1994-05-02
• S63 Uniform Securities Agent State Law Examination
  1992-11-12

Designations

• Certified Financial Planner

Other Names

• Richard J Rios
• Rick Rios