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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 Coppola is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been working in the industry since 1998 and has a broad range of experience. Richard is registered in 30 states, including Illinois, Florida, and Texas. Richard specializes in portfolio management for individuals and businesses. In addition to Merrill Lynch, Pierce, Fenner & Smith Inc., Richard has also worked for Morgan Stanley DW Inc. and First Chicago NBD Investment Services, Inc.. Richard has passed the SIE, Series 31, and Series 7 exams. Richard holds both a Series 63 and Series 65 license. Richard has held a Series 63 since August 2002 and a Series 65 since November 1999.
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
IL
01/20/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (CHICAGO IL)
NY
09/05/2002 - 07/02/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
IL
03/08/1995 - 12/04/1998
FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CHICAGO IL)
BC
Issued 08/15/2002
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 11/29/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/12/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 09/04/2002
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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