Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Dean Smith is a financial advisor with over 20 years of experience. Richard is a registered representative of LPL Financial LLC and a Registered Investment Advisor. Richard is currently registered in 15 states, including Arizona, Colorado, Connecticut, Florida, Hawaii, Massachusetts, New Jersey, New York, Ohio, Tennessee, Texas, Vermont, and Wyoming. Richard specializes in portfolio management for individuals and businesses, financial planning, pension consulting, and educational seminars. Prior to joining LPL Financial LLC, Richard was employed at Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Ameriprise Financial Services, Inc. and IDS Life Insurance Company. Richard is committed to providing personalized financial advice and 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.
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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NY
05/05/2023 - Present
LPL Financial LLC (GLEN FALLS NY)
NY
06/01/2009 - 11/10/2011
MORGAN STANLEY SMITH BARNEY (ALBANY NY)
NY
12/10/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ALBANY NY)
NY
01/13/2006 - 12/10/2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (ALBANY NY)
MN
05/21/2003 - 01/20/2006
AMERIPRISE FINANCIAL SERVICES, INC. (MINNEAPOLIS MN)
MN
05/21/2003 - 01/20/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 04/07/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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