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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 B. Austin is a financial advisor with Raymond James & Associates, Inc. Richard has been in the financial services industry since 1986. Richard has a strong background in the investment industry and holds a number of licenses and certifications. Richard's specializations include a broad range of financial planning services. Richard works with a variety of clients, including individuals, families, businesses, and retirement plans. Richard is committed to providing his clients with personalized financial advice and guidance to help them 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.
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
AL
07/31/2024 - Present
Raymond James & Associates, Inc. (MONTGOMERY AL)
AL
02/27/2009 - 10/21/2019
UBS FINANCIAL SERVICES INC. (MONTGOMERY AL)
AL
04/02/2007 - 03/02/2009
MORGAN STANLEY & CO. INCORPORATED (MONTGOMERY AL)
AL
10/14/2005 - 04/02/2007
MORGAN STANLEY DW INC. (MONTGOMERY AL)
MD
05/26/2000 - 10/20/2005
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
03/18/1997 - 06/09/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
06/17/1993 - 01/17/1997
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
NY
10/02/1990 - 12/31/1992
NEW ENGLAND SECURITIES (NEW YORK NY)
CT
05/24/1989 - 10/29/1990
AETNA LIFE INSURANCE AND ANNUITY COMPANY (HARTFORD CT)
IA
07/18/1985 - 05/09/1989
PRINCOR FINANCIAL SERVICES CORPORATION (DES MOINES IA)
IA
Issued 04/01/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/23/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/10/2020
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/21/2020
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/06/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 03/17/1997
Series 7 - General Securities Representative Examination
BC
Issued 07/17/1985
Series 6 - Investment Company Products/Variable Contracts 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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