Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Smith is a financial advisor with over 25 years of experience in the industry. Richard is currently registered with Osaic Wealth, Inc. and has previously been registered with Woodbury Financial Services, Inc., CUNA Brokerage Services, Inc., Princor Financial Services Corporation, MetLife Securities Inc. and Metropolitan Life Insurance Company. Richard is also a registered investment advisor in Iowa. Richard's experience includes providing financial planning and investment advice to individuals, businesses, and retirement plans. Richard holds Series 6, 7, and 66 securities licenses and is also a registered representative with FINRA. Richard is committed to helping clients achieve their financial goals.
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
IA
01/19/2024 - Present
Osaic Wealth, Inc. (AMES IA)
IA
04/17/2007 - 01/19/2024
WOODBURY FINANCIAL SERVICES, INC. (AMES IA)
IA
05/01/2002 - 04/18/2007
CUNA BROKERAGE SERVICES, INC. (AMES IA)
IA
05/03/1996 - 10/11/2001
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
MA
06/21/1995 - 03/07/1996
METLIFE SECURITIES INC. (SPRINGFIELD MA)
NY
06/21/1995 - 03/07/1996
METROPOLITAN LIFE INSURANCE COMPANY (NEW YORK NY)
BOTH
Issued 09/17/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/20/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/16/1998
Series 7 - General Securities Representative Examination
BC
Issued 06/20/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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