Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Eric Mudd is a financial advisor with over 20 years of experience in the industry. Richard currently works with LPL Financial LLC, a well-established firm with a strong reputation for providing comprehensive financial services. Prior to joining LPL Financial LLC, Richard worked with Oppenheimer & Co. Inc., J.P. Morgan Securities LLC, Chase Investment Services Corp., and Banc One Securities Corporation. Richard's areas of expertise include securities, investment advisory services, and retirement planning.
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.
Consulting and other non-discretionary advisory services
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.
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2
TX
11/13/2023 - Present
LPL Financial LLC (AUSTIN TX)
TX
06/20/2018 - 10/07/2022
OPPENHEIMER & CO. INC. (AUSTIN TX)
TX
10/01/2012 - 06/27/2018
J.P. MORGAN SECURITIES LLC (AUSTIN TX)
TX
07/06/2005 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (ROUND ROCK TX)
IL
05/16/2003 - 07/06/2005
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
IL
05/14/1998 - 08/31/1998
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
NY
04/24/1995 - 01/24/1996
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 12/21/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/21/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/07/2005
Series 7 - General Securities Representative Examination
BC
Issued 05/14/2003
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 05/05/1995
Series 31 - Futures Managed Funds Examination
Active
Inactive
F
FINRA
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