Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Christopher Smith is a securities professional with over 30 years of experience in the financial services industry. Richard has a strong track record of success in providing investment advice and wealth management services to clients. Richard is currently registered with Newedge Securities, Inc. and holds a Series 7, Series 63, and SIE licenses. Richard has previously worked at WFG Investments, Inc. and Paine Webber Incorporated. Richard holds registrations in numerous states across the country.
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.
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.
1
2
TX
07/24/2017 - Present
Newedge Securities, Inc. (DALLAS TX)
TX
04/06/1999 - 07/24/2017
WFG INVESTMENTS, INC. (DALLAS TX)
NJ
09/23/1992 - 05/03/1999
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 09/30/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/21/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
Not sure Richard Smith is the right advisor for you? Invested Better is here to help.
