Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Kim? Claim Your ProfileKim Richardson has over 20 years of experience in the financial services industry. Kim is currently registered with Janney Montgomery Scott LLC, where Kim is a Registered Representative and Investment Advisor Representative. Kim has previously been registered with WELLS FARGO CLEARING SERVICES, LLC and MORGAN STANLEY DW INC. Kim holds Series 7, Series 31, Series 63, and Series 65 licenses. Kim's registrations cover a variety of investment products, including stocks, bonds, mutual funds, and options. Kim is also registered to provide investment advisory services in multiple states. Kim's practice focuses on providing financial planning and investment management services to individuals, families, and businesses.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
Fee plus commission
1
2
TN
10/15/2018 - Present
Janney Montgomery Scott LLC (Franklin TN)
TN
06/02/2004 - 08/17/2017
WELLS FARGO CLEARING SERVICES, LLC (BRENTWOOD TN)
NY
03/17/2000 - 06/03/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NJ
09/28/1998 - 03/27/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
IA
Issued 10/14/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/08/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/02/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 09/25/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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