Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard D. Hattaway is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Incorporated, based in NEW YORK, NY. Richard has been working in the financial services industry since October 2006. Richard has licenses in Florida and Texas, and holds FINRA Series 7, 9, 10, 66 and SIE licenses. Richard is registered as an Investment Advisor Representative (IAR) in Florida and Texas. Richard’s firm, Merrill Lynch, Pierce, Fenner & Smith Incorporated, has approximately $10 billion - $50 billion in assets under management and serves a diverse range of clients including individuals, high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans.
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
11/29/2006 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
BOTH
Issued 11/22/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/22/2019
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 8/30/2019
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2006
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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