Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Huey? Claim Your ProfileHuey Lee Richardson is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Huey has been in the financial industry for over 20 years. Huey is registered with the state of Connecticut and has a variety of licenses including Series 7, 9, 10, 24, 55, 57, and 66. Huey's previous employers include Rafferty Capital Markets, LLC, Legg Mason Investor Services, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Huey is also a licensed investment advisor representative. Huey offers a variety of services including portfolio management, financial planning, and investment advisory services.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
08/28/2015 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
04/26/2011 - 11/19/2012
RAFFERTY CAPITAL MARKETS, LLC (NEW YORK NY)
NY
04/27/2009 - 09/24/2009
LEGG MASON INVESTOR SERVICES, LLC (NEW YORK NY)
NY
02/28/2007 - 07/11/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/23/2000 - 09/25/2006
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 08/27/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/26/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/23/2005
Series 24 - General Securities Principal Examination
BC
Issued 03/23/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/17/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/2002
Series 25 - NYSE Trading Assistant Examination
BC
Issued 03/01/2001
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/20/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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