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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 Horwitch is a financial advisor with over 35 years of experience in the financial services industry. Richard is currently registered with Raymond James & Associates, Inc., a firm with over 7,000 investment advisor representatives nationwide. Richard has a strong background in providing financial planning, portfolio management, and other advisory services to a wide range of clients, including high-net-worth individuals, corporations, and retirement plans. Richard has a proven track record of success in helping clients achieve their financial goals. He holds a Series 7, Series 52, and Series 66 licenses, as well as the SIE designation. Richard is committed to providing personalized and comprehensive financial advice to his clients.
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.
Please see note in schedule d - miscellaneous
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
IL
06/30/2022 - Present
Raymond James & Associates, Inc. (Chicago IL)
IL
01/28/1992 - 01/19/2021
NORTHERN TRUST SECURITIES, INC. (CHICAGO IL)
IL
10/02/2000 - 12/31/2010
VISION INVESTMENT SERVICES, INC. (CHICAGO IL)
WI
08/11/1993 - 10/03/2000
INVEST FINANCIAL CORPORATION (APPLETON WI)
IL
12/05/1985 - 02/11/1992
METRO EQUITIES CORPORATION (CHICAGO IL)
BOTH
Issued 02/05/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/30/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/1986
Series 7 - General Securities Representative Examination
BC
Issued 12/04/1985
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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