Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Taubman is an investment advisor representative with over 35 years of experience in the financial services industry. Richard is registered with Merrill Lynch, Pierce, Fenner & Smith Inc. and holds Series 7, Series 31, Series 63 and Series 65 licenses. Richard has previously worked with Morgan Stanley & Co. Incorporated and Morgan Stanley DW Inc. Richard is a dedicated professional with a proven track record of success. Richard provides a range of services to individuals, businesses, and institutions, including portfolio management, financial planning, and investment advice.
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
AZ
12/19/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PRESCOTT AZ)
IL
04/02/2007 - 12/02/2008
MORGAN STANLEY & CO. INCORPORATED (RIVERWOODS IL)
IL
10/14/1986 - 04/02/2007
MORGAN STANLEY DW INC. (RIVERWOODS IL)
NA
01/21/1986 - 09/24/1986
THE STUART-JAMES COMPANY, INC.
IA
Issued 04/17/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/10/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/27/2008
Series 31 - Futures Managed Funds Examination
BC
Issued 01/18/1986
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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