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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 White is a financial advisor with over 20 years of experience in the industry. Richard is currently registered with Morgan Stanley and has held previous positions at CITIGROUP GLOBAL MARKETS INC. and PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP. Richard has a wide range of experience in the financial services industry, including investment advisory, brokerage, and futures trading. Richard holds several securities licenses, including Series 3, 6, 7, and 63.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
03/25/2022 - Present
Morgan Stanley (Albany NY)
NY
11/08/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (ALBANY NY)
MA
06/13/2002 - 10/18/2005
PUTNAM RETAIL MANAGEMENT LIMITED PARTNERSHIP (BOSTON MA)
IA
Issued 08/04/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/12/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/2009
Series 3 - National Commodity Futures Examination
BC
Issued 11/10/2003
Series 7 - General Securities Representative Examination
BC
Issued 06/12/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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