Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Courtney is a financial advisor at Raymond James & Associates, Inc. Richard has been in the financial industry since 1983. Richard holds Series 7, Series 63, and Series 65 licenses. Richard is registered with FINRA and is also registered as an investment advisor in 30 states and the District of Columbia.
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.
Please see note in schedule d - miscellaneous
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
DC
07/15/2019 - Present
Raymond James & Associates, Inc. (Washington DC)
DC
01/13/2001 - 09/06/2016
DEUTSCHE BANK SECURITIES INC. (WASHINGTON DC)
MD
09/01/1997 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NA
08/22/1989 - 09/01/1997
ALEX. BROWN & SONS INCORPORATED
NA
05/19/1983 - 01/20/1987
ALEX. BROWN & SONS, INC.
NA
05/18/1981 - 05/13/1983
ROBINSON-HUMPHREY/AMERICAN EXPRESS INC.
IA
Issued 05/05/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/19/1989
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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