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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 O'Connell is a financial advisor at Raymond James & Associates, Inc. Richard has over 30 years of experience in the financial industry. Richard specializes in providing investment advice and portfolio management for individuals and businesses. Richard is also a registered investment advisor in Michigan and Texas. Richard offers a wide range of financial services, including financial planning, pension consulting, educational seminars, and selection of other advisors.
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.
1
2
MI
09/19/2013 - Present
Raymond James & Associates, Inc. (BLOOMFIELD HILLS MI)
MI
06/16/2006 - 01/31/2012
WELLS FARGO ADVISORS, LLC (ANN ARBOR MI)
CA
12/10/2004 - 06/21/2006
BANC OF AMERICA INVESTMENT SERVICES, INC. (WESTLAKE VILLAGE CA)
NY
07/02/1998 - 12/09/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
08/14/1992 - 07/08/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 05/01/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/18/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/31/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/07/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/04/2010
Series 3 - National Commodity Futures Examination
BC
Issued 08/12/1992
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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