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 Spivey is a financial professional with over 30 years of experience in the industry. Richard has held various roles at several firms including United Brokerage Services, Inc, M Holdings Securities, Inc. and Woodbury Financial Services, Inc. Richard currently works for The L. Warner Companies, Inc. and has been with the firm since July 2016. Richard holds a Series 6, 7 and 63 licenses and has earned the Chartered Financial Consultant designation. Richard specializes in providing financial planning, portfolio management, 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.
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.
Business consulting and plan administration 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.
1
2
MD
08/09/2016 - Present
THE L. Warner Companies, Inc. (TIMONIUM MD)
MD
10/05/2011 - 08/30/2016
UNITED BROKERAGE SERVICES, INC (BETHESDA MD)
MD
06/19/2009 - 10/10/2011
M HOLDINGS SECURITIES, INC. (SPARKS MD)
MD
12/08/2004 - 07/17/2009
WOODBURY FINANCIAL SERVICES, INC. (HUNT VALLEY MD)
NY
06/16/2000 - 12/17/2004
MONY SECURITIES CORPORATION (NEW YORK NY)
NY
03/26/2002 - 12/02/2003
TRUSTED SECURITIES ADVISORS CORP. (NEW YORK NY)
MA
10/04/1995 - 06/19/2000
MUTUAL SERVICE CORPORATION (BOSTON MA)
NY
10/05/1982 - 10/19/1995
MONY SECURITIES CORP. (NEW YORK NY)
BC
Issued 06/25/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/19/1993
Series 7 - General Securities Representative Examination
BC
Issued 09/15/1982
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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