Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Polly? Claim Your ProfilePolly Richardson is a financial advisor with Ameriprise Financial Services, LLC. Polly has been in the industry since 2006. Polly holds the Series 7, Series 9, Series 10, and Series 66 securities licenses. Polly is registered with the state of California as an investment advisor representative. Polly is also registered as a representative of Ameriprise Financial Services, LLC in the states of Arizona, Arkansas, California, Colorado, Connecticut, Delaware, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Kentucky, Louisiana, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Jersey, New Mexico, New York, North Carolina, Ohio, Oregon, South Carolina, Tennessee, Texas, Utah, Virginia, and Washington. Polly's previous employers include RBC Capital Markets, LLC and Morgan Stanley DW Inc.
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.
Asset allocation services
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.
A percentage of the total value of assets under management is charged.
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2
CA
06/13/2023 - Present
Ameriprise Financial Services, LLC (Monterey CA)
CA
08/14/2017 - 06/27/2023
RBC CAPITAL MARKETS, LLC (SAN FRANCISCO CA)
CA
08/04/2006 - 06/13/2017
RBC CAPITAL MARKETS, LLC (SAN FRANCISCO CA)
CA
07/17/2006 - 08/07/2006
MORGAN STANLEY DW INC. (SALINAS CA)
BOTH
Issued 04/20/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/11/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/01/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/14/2006
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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