Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Nathan? Claim Your ProfileNathan Richards is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Nathan has over 20 years of experience in the financial services industry, working with clients to develop investment strategies. Nathan is registered to provide investment advice in 53 states and jurisdictions. Nathan is also a registered principal with the firm and has passed the Series 24, 23, 10, and 9 principal exams, as well as the Series 7, 3, 57, and SIE exams. Nathan is committed to providing comprehensive financial advice to individuals, families, businesses, and retirement plans.
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
AR
04/28/2022 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LITTLE ROCK AR)
TX
05/25/2021 - 02/04/2022
RBC CAPITAL MARKETS, LLC (DALLAS TX)
MA
02/17/2016 - 03/31/2021
STEPHENS (BOSTON MA)
NH
02/26/2015 - 01/26/2016
WADDELL & REED (PORTSMOUTH NH)
AR
06/09/2011 - 02/27/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LITTLE ROCK AR)
OK
06/01/2009 - 06/03/2011
MORGAN STANLEY SMITH BARNEY (OKLAHOMA CITY OK)
OK
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (OKLAHOMA CITY OK)
OK
01/24/2006 - 04/02/2007
MORGAN STANLEY DW INC. (OKLAHOMA CITY OK)
TX
01/30/2000 - 06/06/2005
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
SC
07/28/1999 - 11/15/1999
SOUTHERN FINANCIAL GROUP, INC. (COLUMBIA SC)
IA
Issued 06/22/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/02/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 24 - General Securities Principal Examination
BC
Issued 06/01/2015
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 08/29/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/14/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/22/2016
Series 57 - Securities Trader Exam
BC
Issued 08/02/2006
Series 3 - National Commodity Futures Examination
BC
Issued 07/21/1999
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
Not sure Nathan Richards is the right advisor for you? Invested Better is here to help.
