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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Johnson is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been in the industry since 2020 and is licensed to provide financial advice in multiple states. Richard's previous experience includes working for Morgan Stanley and E*TRADE Securities LLC. Richard is a Series 7, 63, and 66 licensed professional. Richard offers a variety of investment advisory services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. Richard also provides performance measurement reports, allocation modeling, investment policy statements (IPS), research reports and services. Richard is committed to helping clients achieve their financial goals.
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
AZ
10/13/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PEORIA AZ)
AZ
10/04/2022 - 08/02/2023
E*TRADE SECURITIES LLC (Gilbert AZ)
AZ
11/09/2021 - 08/02/2023
MORGAN STANLEY (Gilbert AZ)
AZ
10/12/2020 - 11/12/2021
VANGUARD MARKETING CORPORATION (SCOTTSDALE AZ)
BOTH
Issued 12/14/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/23/2020
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/18/2021
Series 7TO - General Securities Representative Examination
BC
Issued 10/12/2020
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 09/26/2020
SIE - Securities Industry Essentials 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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