Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Stone is a financial advisor with Stifel, Nicolaus & Company, Inc.. Richard has been in the industry since 2001 and has experience with various financial institutions, including Morgan Stanley, Citigroup Global Markets Inc., and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard is registered to offer investment advice in multiple states including Florida, New Jersey, New York and Texas. Richard specializes in portfolio management, financial planning, and pension consulting. Richard also offers educational seminars and selection of other advisors.
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.
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
12/20/2019 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
06/01/2009 - 03/21/2016
MORGAN STANLEY (NEW YORK NY)
NY
05/04/2009 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
11/21/2007 - 11/19/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/31/2003 - 11/02/2007
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
05/01/2001 - 11/22/2002
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
09/13/2000 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BOTH
Issued 03/31/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/24/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 08/09/2000
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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