Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Valenzuela is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been in the securities industry since May 23, 2009. Richard is licensed to provide investment advice in California and Texas. Richard has been a registered representative since 2009, and a licensed investment advisor representative since 2014. Richard has passed the Series 7, Series 66, and SIE exams. Richard’s specialties include retirement planning, college savings, and estate planning. Richard is a member of the Financial Industry Regulatory Authority (FINRA) and the Securities Investor Protection Corporation (SIPC).
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
07/28/2016 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BAKERSFIELD CA)
CA
10/01/2012 - 08/07/2014
J.P. MORGAN SECURITIES LLC (STOCKTON CA)
CA
04/25/2011 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (STOCKTON CA)
CA
03/09/2009 - 03/21/2011
WADDELL & REED, INC. (STOCKTON CA)
BOTH
Issued 05/02/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/07/2009
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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