Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Alton Britt has been in the financial services industry since July 1998. Richard is currently registered with Wells Fargo Clearing Services, LLC. Previously, Richard was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated in Birmingham, AL. Richard is registered to offer securities in Alabama, Arizona, Arkansas, California, Colorado, District of Columbia, Florida, Georgia, Idaho, Indiana, Louisiana, Maine, Massachusetts, Michigan, Mississippi, Missouri, Nevada, New Jersey, New Mexico, North Carolina, Ohio, Pennsylvania, Tennessee, Texas, Virginia, Washington and West Virginia. Richard has also passed numerous industry exams including the Uniform Combined State Law Examination, the General Securities Sales Supervisor - General Module Examination, the General Securities Sales Supervisor - Options Module Examination, the Securities Industry Essentials Examination and the General Securities Representative Examination. Richard offers a variety of advisory services including financial planning, pension consulting, and investment consulting services to institutional clients. Richard is also registered as an investment advisor representative in Texas and Alabama. Richard is currently affiliated with two branch offices of Wells Fargo Clearing Services, LLC in Birmingham, AL. One office is located at 2501 20th PL S, STE 325 in Birmingham, AL and the other is located at 5376 HIGHWAY 280 in Birmingham, AL. Richard's professional experience includes employment with Bank of America, N.A., Wells Fargo Clearing Services, LLC, and Merrill Lynch, Pierce, Fenner & Smith Incorporated.
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.
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.
Investment consulting services to institutional clients
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
AL
07/02/2019 - Present
Wells Fargo Clearing Services, LLC (BIRMINGHAM AL)
AL
07/14/1998 - 07/05/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BIRMINGHAM AL)
BOTH
Issued 08/06/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/15/2005
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/14/2005
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/13/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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