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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 Baer is a financial advisor with over 30 years of experience in the financial services industry. Richard currently works at Merrill Lynch, Pierce, Fenner & Smith Inc. where he is registered to provide investment advice and securities trading services in California and Texas. Richard has a wide range of experience working with a variety of clients, including high-net-worth individuals, corporations, charitable organizations, and pension plans. Richard specializes in providing investment advice, portfolio management, financial planning, and other related services. Richard is a highly experienced financial professional with a proven track record of success.
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
01/05/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (LOS ANGELES CA)
CA
03/28/1995 - 05/27/1997
THE BOSTON GROUP (LOS ANGELES CA)
NJ
06/24/1994 - 04/12/1995
A.S. GOLDMEN & CO., INC. (RED BANK NJ)
NY
08/27/1993 - 03/01/1994
STRATTON OAKMONT INC. (LAKE SUCCESS NY)
MO
08/27/1993 - 02/14/1994
CORPORATE SECURITIES GROUP, INC. (ST. LOUIS MO)
NY
04/11/1990 - 09/07/1990
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
05/22/1989 - 04/12/1990
PRUDENTIAL-BACHE SECURITIES INC. (NEW YORK NY)
NA
10/21/1988 - 06/03/1989
DREXEL BURNHAM LAMBERT INCORPORATED
BOTH
Issued 10/05/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/09/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 08/26/1993
Series 7 - General Securities Representative Examination
BC
Issued 11/08/1988
Series 3 - National Commodity Futures 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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