Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Carter is a financial advisor with over 36 years of experience in the industry. Richard is currently registered with Osaic Wealth, Inc. and has been with the firm since June 2024. Richard has a broad range of experience, previously working at Securities America, Inc. and Paine Webber Incorporated. Richard has obtained several licenses and certifications, including Series 7, Series 63, Series 66 and the SIE. Richard specializes in providing financial planning, pension consulting and educational seminars for individuals, businesses and investment companies.
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.
Comprehensive financial plans to help you achieve your personal and business 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.
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.
A percentage of the total value of assets under management is charged.
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2
NV
06/14/2024 - Present
Osaic Wealth, Inc. (LAS VEGAS NV)
NV
02/03/1995 - 06/14/2024
SECURITIES AMERICA, INC. (LAS VEGAS NV)
NJ
09/11/1989 - 02/28/1995
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
CO
07/21/1987 - 05/09/1989
THE STUART-JAMES COMPANY, INCORPORATED (DENVER CO)
BOTH
Issued 10/20/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/14/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/18/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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