Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Charles Spence is a financial advisor with over 30 years of experience in the industry. Richard is currently registered with Ameritas Advisory Services, LLC and is licensed to provide investment advice in Texas. Prior to joining Ameritas Advisory Services, Richard worked for a number of other firms, including Diversified Investors Securities Corp., Hartford Equity Sales Company Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, and Lehman Brothers Inc. Richard holds the Series 3, 6, 7, 63 and 65 licenses. Richard is also a licensed horse breeder and trainer, and he owns and operates a construction business. Richard has a strong commitment to helping his clients achieve their financial goals, and he believes in providing personalized service.
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.
Solicitor fees
1
2
TX
11/01/2021 - Present
Ameritas Advisory Services, LLC (ALEDO TX)
TX
09/25/2008 - 10/04/2011
DIVERSIFIED INVESTORS SECURITIES CORP. (IRVING TX)
CT
11/23/2007 - 06/30/2008
HARTFORD EQUITY SALES COMPANY INC. (HARTFORD CT)
NY
08/04/1992 - 09/10/1996
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
09/27/1990 - 08/17/1992
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 03/23/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/29/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/06/2007
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/22/1990
Series 3 - National Commodity Futures Examination
BC
Issued 09/17/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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