Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Addy is a financial advisor with over 20 years of experience in the industry. Richard is currently registered with Principal Securities, Inc. and is licensed in multiple states. Richard has previously held positions with firms such as TD Private Client Wealth LLC, LPL Financial LLC, and CUNA Brokerage Services, Inc. Richard's areas of expertise include financial planning, pension consulting, and portfolio management for individuals. He is committed to providing his clients with personalized financial advice and guidance to help them 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.
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.
Seminar fees, solicitors fees, subscription consulting fees
1
2
SC
10/18/2023 - Present
Principal Securities, Inc. (IRMO SC)
SC
06/21/2023 - 10/05/2023
TD PRIVATE CLIENT WEALTH LLC (COLUMBIA SC)
SC
05/18/2022 - 07/05/2023
LPL FINANCIAL LLC (Lexington SC)
SC
10/04/2021 - 05/18/2022
CUNA BROKERAGE SERVICES, INC. (Lexington SC)
IA
10/10/2017 - 11/08/2019
ATHENE SECURITIES, LLC (WEST DES MOINES IA)
SC
11/28/2016 - 10/11/2017
TD AMERITRADE, INC. (COLUMBIA SC)
CO
11/18/2014 - 07/06/2015
GWFS EQUITIES, INC. (GREENWOOD VILLAGE CO)
CO
08/31/2011 - 12/19/2013
ADVISORS ASSET MANAGEMENT, INC. (MONUMENT CO)
AZ
05/10/2011 - 09/16/2011
BIC DISTRIBUTORS, LLC (SCOTTSDALE AZ)
CT
03/13/2007 - 05/22/2009
PRUDENTIAL ANNUITIES DISTRIBUTORS, INC (SHELTON CT)
SC
12/14/2006 - 02/10/2007
UVEST FINANCIAL SERVICES GROUP, INC. (MARION SC)
CT
09/13/2005 - 11/13/2006
PLANCO FINANCIAL SERVICES, LLC (HARTFORD CT)
NC
02/14/2003 - 04/26/2005
BB&T INVESTMENT SERVICES, INC. (CHARLOTTE NC)
MO
09/05/2001 - 02/10/2003
EDWARD JONES (ST. LOUIS MO)
BOTH
Issued 03/06/2017
Series 66 - Uniform Combined State Law Examination
IA
Issued 11/04/2011
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/07/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/04/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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