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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 Jean Bourgouin is a financial advisor who has been in the industry since 2001. Richard is currently registered with LPL Financial LLC and has been with the firm since May 2024. Prior to LPL Financial, Richard was with Merrill Lynch, Pierce, Fenner & Smith Incorporated from March 2015 until February 2024. Richard has been involved with a number of firms throughout his career, including BBVA Securities Inc., BBVA Compass Investment Solutions, Inc., Citigroup Global Markets Inc., CitiCorp Investment Services, DFC Investor Services, Essex National Securities, Inc., Gateway Investment Services, Inc., and WMA Securities, Inc. Richard holds a Series 6, Series 7, Series 26, Series 63, and Series 65. Richard specializes in helping individuals, families, and businesses with their financial planning needs.
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.
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2
CA
05/17/2024 - Present
LPL Financial LLC (SUN CITY CA)
CA
03/26/2015 - 02/06/2024
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BEAUMONT CA)
CA
05/16/2013 - 03/10/2015
BBVA SECURITIES INC. (DESERT HOT SPRINGS CA)
CA
04/16/2010 - 05/16/2013
BBVA COMPASS INVESTMENT SOLUTIONS, INC (DESERT HOT SPRINGS CA)
CA
05/31/2007 - 07/27/2009
CITIGROUP GLOBAL MARKETS INC. (PALM DESERT CA)
CA
04/26/2004 - 05/31/2007
CITICORP INVESTMENT SERVICES (HEMET CA)
CA
05/14/2007 - 05/16/2007
DFC INVESTOR SERVICES (CHINO HILLS CA)
CA
09/15/2003 - 01/29/2004
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
IL
06/07/2001 - 09/15/2003
GATEWAY INVESTMENT SERVICES, INC. (OAK PARK IL)
GA
02/22/2000 - 12/05/2000
WMA SECURITIES, INC. (DULUTH GA)
IA
Issued 11/21/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/18/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/17/2000
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/2006
Series 7 - General Securities Representative Examination
BC
Issued 02/17/2000
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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