Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Jones is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been in the industry since December 13, 1998 and has a wide range of experience, including experience in investment advisory and brokerage services. Richard is registered with the state of California as a Broker/Dealer and Investment Advisor Representative. Richard specializes in helping individuals, businesses, and other entities with their investment needs.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
CA
01/11/2000 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
NA
02/08/1999 - 03/02/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NY
12/14/1998 - 02/08/1999
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
IA
Issued 05/04/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/24/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2000
Series 31 - Futures Managed Funds Examination
BC
Issued 11/19/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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