Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Jason Winn is a registered investment advisor representative, and a registered representative with LPL Financial LLC. Richard has been in the financial services industry since 2001 and has experience with Nationwide Securities, LLC, New England Securities and Park Avenue Securities LLC. Richard holds the Series 6, Series 63, Series 26 and Series 65 licenses. Richard provides advisory services to a broad range of clients including corporations or other businesses, individuals (other than high net worth), high net worth individuals, pension and profit sharing plans, charitable organizations, and other investment advisors.
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.
Consulting and other non-discretionary advisory services
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
NC
05/21/2021 - Present
LPL Financial LLC (SHELBY NC)
NC
07/25/2003 - 12/31/2019
NATIONWIDE SECURITIES, LLC (CHARLOTTE NC)
NY
08/07/2002 - 07/14/2003
NEW ENGLAND SECURITIES (NEW YORK NY)
NY
07/06/2001 - 08/29/2002
PARK AVENUE SECURITIES LLC (NEW YORK NY)
IA
Issued 05/21/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/28/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/28/2005
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/05/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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