Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard James Polimeni is an Investment Advisor Representative at Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been in the industry since October 1988. Richard has Series 7, Series 52TO, Series 53, Series 63 and Series 66 securities licenses and is registered in Maine, New Jersey, Pennsylvania, and Texas. Prior to joining Merrill Lynch, Pierce, Fenner & Smith Inc., Richard worked at Salomon Smith Barney Inc. and Smith Barney, Harris Upham & Co., Incorporated. Richard also served as an Officer and Chair for the College Savings Foundation and as a member of the Municipal Securities Rulemaking Board's Advisory Group.
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
NJ
09/23/2002 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (PENNINGTON NJ)
NY
09/19/1989 - 04/15/2002
SALOMON SMITH BARNEY INC. (NEW YORK NY)
NA
01/22/1988 - 10/15/1988
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
NA
04/29/1987 - 12/02/1987
MONMOUTH INVESTMENTS, INC.
BOTH
Issued 08/03/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 05/22/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2003
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/25/1987
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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