Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Dale Stewart is a financial professional with over 30 years of experience in the financial services industry. Richard has worked with LPL Enterprise, LLC since November 2024, and has worked with Prudential Insurance Company of America and Pruco Securities, LLC. Richard has served clients in Alabama, Colorado, Florida and Georgia. Richard holds the Series 6, 7, 63, and 65 licenses. Richard can help clients with a wide range of financial needs, including portfolio management for individuals and businesses, financial planning and educational seminars. Richard is committed to providing his clients with personalized service and helping them 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.
Comprehensive financial plans to help you achieve your personal and business goals.
Seminars designed to boost your financial literacy and investment knowledge.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Consulting and other non-discretionary advisory services
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.
A percentage of the total value of assets under management is charged.
1
2
AL
11/14/2024 - Present
LPL Enterprise, LLC (MONTGOMERY AL)
NY
06/06/1995 - 04/09/2003
AXA ADVISORS, LLC (NEW YORK NY)
NY
06/18/1993 - 01/05/2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NA
06/18/1993 - 07/02/1993
EQUICO SECURITIES, INC.
BC
Issued 07/14/2003
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/17/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/09/2003
Series 7 - General Securities Representative Examination
BC
Issued 06/17/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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