Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Heller is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc., and has been in the industry since 1984. Richard is registered with the state of New Hampshire. The advisor is a registered representative with 53 states, and an investment adviser representative with 6 states. Richard has passed the Series 3, 5, 7, 8, 9, 10, 15, 63, and 65 exams. Richard has a vast experience in the industry, and has a strong track record of helping clients achieve their financial goals.
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
NH
05/20/2014 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (MANCHESTER NH)
IA
Issued 2/9/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 8/10/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/25/1988
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/3/2009
Series 3 - National Commodity Futures Examination
BC
Issued 8/25/1995
Series 15 - Foreign Currency Options Examination
BC
Issued 9/8/1994
Series 5 - Interest Rate Options Examination
BC
Issued 7/21/1984
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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