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Richard Earl Moore

Merrill Lynch, Pierce, Fenner & Smith Inc.

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About Richard Earl Moore

Richard Earl Moore is a financial advisor currently employed by Merrill Lynch, Pierce, Fenner & Smith Inc. in Providence, RI. Richard has been in the financial industry since 2018. Richard holds a Series 7 and Series 66 license. Richard is registered in 36 states and has worked in a variety of financial roles, including at Fidelity Investments, Bank of America, N.A. and IATSE Local 23.

Firm Information

Richard Moore is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

1 FINANCIAL PLAZA

PROVIDENCE, RI 02903

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

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.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Richard Moore’s Registration & Firm History

RI

01/05/2021 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (PROVIDENCE RI)

OR

05/03/2018 - 10/01/2019

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PORTLAND OR)

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Licenses & Designations

BOTH

Issued 7/26/2018

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/1/2018

SIE - Securities Industry Essentials Examination

BC

Issued 5/3/2018

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There is public disclosure for Richard Earl Moore. Review regulatory record here.
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