Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Johnson is a financial advisor with over 23 years of experience in the industry. Richard is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and has held previous registrations with Dean Witter Reynolds Inc. Richard holds the Series 7, Series 31, Series 63 and Series 65 licenses, as well as the SIE exam. Richard provides a range of services, including portfolio management for individuals and businesses, pension consulting, educational seminars, and selection of other advisors. Richard specializes in working with high-net-worth individuals, corporations, charitable organizations, and pension and profit-sharing plans.
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
TX
07/12/1999 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN ANTONIO TX)
NY
08/20/1997 - 08/09/1999
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 09/30/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/29/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/03/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 08/18/1997
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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