Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Somers is an investment advisor representative currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been in the financial services industry since 2018. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Richard has held positions at Ameriprise Financial Services, Inc., Principal Securities, Inc., and Citizens Securities, Inc. Richard has passed the Series 7, Series 66 and SIE exams. Richard specializes in providing investment advisory services to a wide range of clients, including individuals, high-net-worth individuals, businesses, corporations, pension and profit-sharing plans, charitable organizations, insurance companies, banking or thrift institutions, and state or municipal government entities.
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
03/14/2023 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (FORT WORTH TX)
TX
04/11/2022 - 01/04/2023
CITIZENS SECURITIES, INC. (IRVING TX)
TX
04/01/2020 - 05/28/2021
PRINCIPAL SECURITIES, INC. (MIDLOTHIAN TX)
TX
12/04/2018 - 12/10/2019
AMERIPRISE FINANCIAL SERVICES, INC. (FORT WORTH TX)
BOTH
Issued 01/08/2019
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/04/2018
Series 7TO - General Securities Representative Examination
BC
Issued 11/01/2018
SIE - Securities Industry Essentials 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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