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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 Allen is a financial advisor with over 35 years of experience in the industry. Richard is currently registered with Osaic Wealth, Inc. in New York. Richard has been a registered investment advisor representative since 1999. Richard has experience in working with a range of clients, including high-net-worth individuals, corporations, and pension and profit-sharing plans. Prior to joining Osaic Wealth, Inc., Richard was employed with SAGEPOINT FINANCIAL, INC. Richard is a strong advocate for his clients and is committed to providing them with the highest level of service.
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.
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
NY
09/01/2023 - Present
Osaic Wealth, Inc. (KENT LAKES NY)
NY
10/31/2008 - 09/01/2023
SAGEPOINT FINANCIAL, INC. (KENT LAKES NY)
NY
07/22/1998 - 10/31/2008
AMERICAN GENERAL SECURITIES INCORPORATED (NEW YORK NY)
NY
02/23/1988 - 07/22/1998
BERNARD HEROLD & CO., INC. (NEW YORK NY)
IA
Issued 02/18/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/23/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/27/2008
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/02/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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