Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Alan Marshall is a financial advisor in Edmond, Oklahoma. Richard has been working in the financial industry since June 1999. Richard is currently registered with LPL Financial LLC. Richard is also registered with the state of Oklahoma. Prior to joining LPL Financial LLC, Richard worked at BANC OF AMERICA INVESTMENT SERVICES, INC. and Morgan Stanley DW Inc. Richard has earned the Series 31, Series 7, Series 63 and Series 65 licenses.
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.
Consulting and other non-discretionary advisory 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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
OK
03/08/2018 - Present
LPL Financial LLC (EDMOND OK)
OK
06/25/2004 - 05/05/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (OKLAHOMA CITY OK)
NY
06/06/2000 - 06/29/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
07/25/1995 - 07/03/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 02/21/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/28/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/30/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 06/05/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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