Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Clinton Ivey, Jr. is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has over 20 years of experience in the financial services industry. Richard holds Series 3, 7, 9, 10, 31, and 66 licenses and is registered to provide investment advice in all 50 states. Richard has been with Merrill Lynch since 2020. Prior to joining Merrill Lynch, Richard worked for J.P. Morgan Securities LLC.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
04/29/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
10/01/2012 - 03/26/2020
J.P. MORGAN SECURITIES LLC (MINEOLA NY)
NY
09/18/2012 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
06/01/2009 - 09/21/2012
MORGAN STANLEY SMITH BARNEY (NEW YORK NY)
NY
03/29/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
CT
09/07/2001 - 04/15/2005
ADVEST, INC. (HARTFORD CT)
BOTH
Issued 12/21/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/04/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/14/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/31/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 09/29/2023
Series 31 - Futures Managed Funds Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/2008
Series 3 - National Commodity Futures Examination
BC
Issued 09/06/2001
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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