Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Albon has been a registered representative for over 25 years, and currently holds the Series 66, Series 63, Series 24, Series 10, Series 9, Series 99TO, Series 79TO, SIE, and Series 7 licenses. He is affiliated with LPL Financial LLC and has worked in the financial industry since 1997. Prior to his current position, Richard Albon was with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Charles Schwab & Co., Inc., Great Western Financial Securities Corporation, and Chatfield Dean & Co., Inc. Richard Albon has experience providing financial advice to a wide range of clients, including individuals, corporations, charitable organizations, and retirement plans. He specializes in providing financial planning, portfolio management, and investment advice.
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.
Consulting and other non-discretionary advisory services
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
04/06/2005 - Present
LPL Financial LLC (SAN DIEGO CA)
NY
07/15/2004 - 01/24/2005
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
TX
06/27/1996 - 12/06/2001
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
CA
05/26/1994 - 02/20/1996
GREAT WESTERN FINANCIAL SECURITIES CORPORATION (NORTHRIDGE CA)
CO
12/16/1993 - 03/01/1994
CHATFIELD DEAN & CO., INC. (GREENWOOD VILLAGE CO)
BOTH
Issued 08/11/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/22/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/09/2007
Series 24 - General Securities Principal Examination
BC
Issued 12/01/1999
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/12/1999
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/14/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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