Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Fister, Jr. has been in the financial services industry since 1980. Richard is currently registered with Morgan Stanley and has been working with them since January of 2025. Prior to that, Richard worked with UBS Financial Services, Inc., Salomon Smith Barney Inc., and Stifel, Nicolaus & Company, Incorporated. Richard holds Series 63, 65, 7 and SIE licenses. Richard is registered in several states as both a broker and an investment advisor representative. Richard is a Series 63, 65, 7 and SIE license holder. Richard is also a licensed investment advisor representative and a registered broker in various states. Richard specializes in providing financial planning, portfolio management for individuals, businesses, and investment companies. He also provides pension consulting, asset allocation advice, and educational seminars.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
MO
01/14/2025 - Present
Morgan Stanley (Clayton MO)
NY
04/22/1985 - 09/29/2000
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NA
09/25/1980 - 05/02/1985
STIFEL, NICOLAUS & COMPANY, INCORPORATED
IA
Issued 04/04/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/31/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/1980
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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