Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Glaser is a financial advisor with over 20 years of experience in the industry. Richard is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been with the firm since May 2006. Previously, Richard was employed by Bank of America, N.A. Richard is registered with the state of New Jersey, New York, and Texas, and holds the Series 7, 63, and 66 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.
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
NY
02/10/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PITTSFORD NY)
CT
02/25/2000 - 06/19/2001
AMERIMUTUAL FUNDS DISTRIBUTOR, INC. (STAMFORD CT)
NY
06/04/1997 - 03/17/1998
MANNING & NAPIER INVESTOR SERVICES, INC. (FAIRPORT NY)
NY
09/20/1995 - 01/24/1996
ESSEX CAPITAL MARKETS, INC. (ROCHESTER NY)
NY
02/17/1995 - 04/24/1995
LEPERCQ, DE NEUFLIZE SECURITIES INC. (NEW YORK NY)
NA
08/20/1985 - 09/01/1988
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BOTH
Issued 07/27/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/31/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/11/2006
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
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