Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Roeder is a financial advisor with Raymond James & Associates, Inc., a firm headquartered in St. Petersburg, Florida. Richard has been in the industry since 1969 and has experience working with a variety of clients, including individuals, corporations, and charitable organizations. Richard holds licenses in several states and is also a Registered Investment Advisor in Texas. Richard has an extensive background in the financial services industry and has worked with various firms throughout the years.
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
TX
03/04/2020 - Present
Raymond James & Associates, Inc. (HOUSTON TX)
TX
10/12/2000 - 04/04/2006
LEHMAN BROTHERS INC. (HOUSTON TX)
NY
07/01/1998 - 10/18/2000
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NY
10/11/1983 - 07/01/1998
COWEN & CO. (NEW YORK NY)
NA
05/08/1981 - 01/06/1988
COWEN SECURITIES INC.
NA
08/01/1973 - 02/15/1981
COWEN & CO.
NA
08/27/1969 - 01/17/1974
ROWLES, WINSTON & CO., INCORPORATED
BC
Issued 06/05/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 12/14/1985
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 05/04/1985
Series 12 - NYSE Branch Manager Examination
BC
Issued 08/04/1969
Series 00 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/1966
Series 1 - Registered 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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