Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Winn is a financial advisor with LPL Financial LLC. Richard has been in the financial services industry since 2002 and is registered to offer securities in Georgia, North Carolina and South Carolina. He is also registered to offer investment advice in North Carolina. Richard's professional experience includes working for New England Securities and LPL Financial LLC. He has Series 6, 63, and 65 licenses. He is a member of the South Mountain Children and Family Services advisory board. Richard's other business activities include Winn Financial Services, a DBA for his LPL Financial LLC practice.
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.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NC
11/16/2007 - Present
LPL Financial LLC (SHELBY NC)
NC
07/30/2002 - 11/28/2007
NEW ENGLAND SECURITIES (SHELBY NC)
IA
Issued 09/25/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/08/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/29/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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