Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Dudley has been in the financial industry since May 2009. Richard is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard's prior experience includes working with Wells Fargo Clearing Services, LLC and World Group Securities, Inc. Richard is licensed to offer investment advice in 45 states. Richard has earned the Series 6, 7, 63 and 66 securities licenses.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
AR
12/21/2020 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FORT SMITH AR)
AR
05/21/2010 - 11/03/2020
WELLS FARGO CLEARING SERVICES, LLC (SPRINGDALE AR)
GA
06/03/2002 - 07/15/2003
WORLD GROUP SECURITIES, INC. (DULUTH GA)
BOTH
Issued 06/04/2010
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/04/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/2010
Series 7 - General Securities Representative Examination
BC
Issued 05/31/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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