Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Elliot Griffler is a financial advisor with over 40 years of experience in the industry. Richard currently works at Stifel, Nicolaus & Company, Inc. He is a registered investment advisor in North Carolina. Richard has a wide range of experience working with individuals, families, and businesses, providing comprehensive financial planning and investment management services. Richard has held previous positions with UBS Financial Services Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Shearson Loeb Rhoades Inc., Thomson McKinnon Securities Inc., and H. C. Copeland and Associates Equities, Inc. Richard is dedicated to helping clients achieve their financial goals.
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.
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
NC
08/02/2019 - Present
Stifel, Nicolaus & Company, Inc. (WILMINGTON NC)
NY
07/09/2004 - 03/04/2009
UBS FINANCIAL SERVICES INC. (PEARL RIVER NY)
NY
06/03/1982 - 07/22/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
09/03/1980 - 06/16/1982
SHEARSON LOEB RHOADES INC.
NA
08/27/1979 - 09/21/1980
THOMSON MCKINNON SECURITIES INC.
NA
11/02/1978 - 08/24/1979
H. C. COPELAND AND ASSOCIATES EQUITIES, INC.
IA
Issued 10/20/2008
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/19/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1981
Series 5 - Interest Rate Options Examination
BC
Issued 08/18/1979
Series 7 - General Securities Representative Examination
BC
Issued 10/26/1978
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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