Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard E Monroe is an active investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been in the industry since 2001 and is registered in several states including Virginia and Texas. Richard specializes in providing portfolio management services to businesses and individuals, as well as pension consulting and educational seminars. Richard has previously been registered with Ameriprise Financial Services, LLC and Banc of America Securities LLC.
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
VA
06/05/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHARLOTTESVILLE VA)
VA
10/07/2017 - 10/06/2022
AMERIPRISE FINANCIAL SERVICES, LLC (CHARLOTTESVILLE VA)
NY
01/25/2001 - 04/23/2002
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
BOTH
Issued 11/22/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/10/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/07/2017
Series 7 - General Securities 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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