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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 Andrew Roeser is a financial advisor with Raymond James & Associates, Inc. Richard has been in the financial industry since 2011. Richard is registered to provide investment advice in California. Prior to joining Raymond James & Associates, Inc., Richard was an advisor at 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.
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.
Please see note in schedule d - miscellaneous
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.
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2
CA
10/03/2023 - Present
Raymond James & Associates, Inc. (BEVERLY HILLS CA)
CA
06/21/2019 - 10/04/2023
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEWPORT BEACH CA)
CT
06/28/2018 - 02/08/2019
WAYPOINT DIRECT INVESTMENTS, LLC (STAMFORD CT)
MA
05/31/2013 - 12/31/2016
TSC DISTRIBUTORS, LLC (BOSTON MA)
IL
06/02/2010 - 10/17/2012
MORGAN STANLEY (CHICAGO IL)
CA
08/13/2012 - 09/27/2012
M HOLDINGS SECURITIES, INC. (COSTA MESA CA)
CA
06/01/2009 - 05/14/2010
MORGAN STANLEY SMITH BARNEY (SANTA MONICA CA)
CA
09/18/2008 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SANTA MONICA CA)
IA
Issued 08/22/2019
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 11/14/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 09/17/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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