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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Warner is a financial advisor with Southeast Investments, N.c., Inc. Richard has been in the industry since 1995 and holds Series 7 and 63 licenses as well as the SIE exam. He is registered with FINRA and has a BC scope in Florida, New York and Virginia. Richard previously worked with J.P. Turner & Company, L.L.C., Gunnallen Financial, Inc, Continental Broker-Dealer Corp., Sands Brothers & Co., Ltd., Bluestone Capital Corp., Preferred Securities Group, Inc. and Merit Capital Associates, Inc. Richard provides portfolio management services for individuals and businesses as well as financial planning 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.
Comprehensive financial plans to help you achieve your personal and business goals.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Offer products as a b/d on a commission basis
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2
NC
02/26/2010 - Present
Southeast Investments, N.c., Inc. (CHARLOTTE NC)
FL
09/26/2005 - 12/01/2009
J.P. TURNER & COMPANY, L.L.C. (HOLLYWOOD FL)
FL
04/05/2004 - 09/26/2005
GUNNALLEN FINANCIAL, INC (TAMPA FL)
NY
01/25/2002 - 02/02/2004
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
NY
11/19/2001 - 01/31/2002
SANDS BROTHERS & CO., LTD. (NEW YORK NY)
NY
08/08/2000 - 11/26/2001
BLUESTONE CAPITAL CORP. (NEW YORK NY)
FL
11/09/1999 - 08/07/2000
PREFERRED SECURITIES GROUP, INC. (BOCA RATON FL)
CT
11/01/1996 - 11/08/1999
MERIT CAPITAL ASSOCIATES, INC. (WESTPORT CT)
FL
02/09/1995 - 10/24/1996
BILTMORE SECURITIES, INC (FT. LAUDERDALE FL)
BC
Issued 02/13/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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