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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 Carl Strand is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been in the securities industry since January 23, 1989 and has been with Merrill Lynch since November 1988. He has been registered in California since January 24, 1989 and has been registered as an Investment Advisor Representative since July 8, 1997. Richard is also registered in Texas since June 11, 1999. Richard has a total of 23 state registrations and is currently active in 2 states. Richard is a Series 7, Series 63 and Series 65 licensed advisor. Richard's office is located in Walnut Creek, California.
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
06/11/1999 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (WALNUT CREEK CA)
IA
Issued 11/22/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/15/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/21/1989
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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