Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Briscoe is a financial advisor at Merrill Lynch, Pierce, Fenner & Smith Inc. with over 10 years of experience in the financial services industry. Richard has a Series 7, 6, and 63 license, as well as a Series 65. Richard has experience working with a variety of clients, including individuals, high net worth individuals, corporations, and charitable organizations.
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
MO
01/07/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (KANSAS CITY MO)
KS
08/16/2017 - 02/15/2019
FORESIDE FUND SERVICES, LLC (Mission Woods KS)
MO
05/31/2010 - 05/01/2017
UMB DISTRIBUTION SERVICES, LLC (KANSAS CITY MO)
MO
06/20/2006 - 10/26/2007
J.P. MORGAN INSTITUTIONAL INVESTMENTS INC. (KANSAS CITY MO)
IA
Issued 10/14/2010
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/24/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/2012
Series 7 - General Securities Representative Examination
BC
Issued 05/28/2010
Series 6 - Investment Company Products/Variable Contracts 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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