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Richard Guardiola Resigns from Charles Schwab & Company

Richard Guardiola (CRD #: 2946102), a broker registered with Raymond James & Associates, resigned from his previous firm, according to his BrokerCheck record, accessed on February 15, 2023. Keep reading if you have questions about his alleged conduct as a broker.

Resignation from Charles Schwab & Company

On December 28, 2022, Richard Guardiola resigned from Charles Schwab & Company after allegedly inputting improper or false Salesforce documentation, including contradictions in the documentation of phone calls with clients.

FINRA Rule 2010

FINRA Rule 2010 holds brokers to high standards of commercial honor and just and equitable principles of trade.

Background Information

Richard Guardiola has passed the following exams:

  • Series 65 – Uniform Investment Adviser Law Examination
  • Series 63 – Uniform Securities Agent State Law Examination
  • SIE – Securities Industry Essentials Examination
  • Series 7 – General Securities Representative Examination

Richard Guardiola is a registered broker in California, Florida, Montana, New Jersey, and New York. He is also a registered investment adviser in New York.

He has also worked for the following firms:

  • Charles Schwab & Company (CRD#:5393)
  • J.P. Morgan Securities (CRD#:79)
  • Chase Investment Services (CRD#:25574)
  • WaMu Investments (CRD#:599)
  • Dime Securities (CRD#:28955)
  • Dreyfus Service Corporation (CRD#:231)     
  • Citicorp Investment Services (CRD#:23988)
  • PaineWebber (CRD#:8174)

Kurta Law Can Help

If you worked with Richard Guardiola and you have concerns about your investments, please contact us today at 877-600-0098 or for a free consultation.

For over 20 years, Kurta Law has advocated on behalf of investors who want to recover their investment losses from brokers and brokerage firms. Kurta Law is a nationally recognized law firm and exclusively represents investors against brokers and brokerage firms on a contingency basis. This means that the firm only earns a fee if our securities attorneys recover money on your behalf.