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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Spriggs is a financial advisor with over 30 years of experience in the industry. Richard has been with Osaic Wealth, Inc. since January 2022. Richard is a Series 6 and Series 63 licensed advisor with the FINRA. Richard has a strong background in providing financial advice and services to a wide range of clients, including individuals, families, and businesses. Previously, Richard has worked at a number of other financial institutions. Richard specializes in financial planning, investment management, and portfolio management. Richard is committed to providing his clients with personalized financial advice and services that meet their unique needs.
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.
A percentage of the total value of assets under management is charged.
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2
NY
01/03/2022 - Present
Osaic Wealth, Inc. (KINGSTON NY)
NY
10/23/2012 - 01/04/2022
VANDERBILT SECURITIES, LLC (KINGSTON NY)
NY
09/07/2001 - 09/10/2012
PRIMEVEST FINANCIAL SERVICES, INC. (KINGSTON NY)
FL
02/23/2000 - 09/07/2001
MONEY CONCEPTS CAPITAL CORP (PALM BEACH GARDENS FL)
MA
06/03/1996 - 01/18/2000
SIGNATOR INVESTORS, INC. (BOSTON MA)
MA
06/03/1996 - 05/01/1997
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
NA
12/14/1995 - 04/01/1996
JOHN HANCOCK DISTRIBUTORS, INC.
NA
12/14/1995 - 04/01/1996
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY
MA
07/24/1985 - 04/22/1994
JOHN HANCOCK DISTRIBUTORS, INC. (BOSTON MA)
MA
07/24/1985 - 04/22/1994
JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY (BOSTON MA)
BC
Issued 05/01/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/23/1985
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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