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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 Heller is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. in Manchester, NH. Richard Heller has been working in the financial industry since 1984 and has registrations in 53 states and districts, including Maine, New Hampshire, New York, Ohio, and Texas. Richard Heller is also a registered investment advisor representative in Maine and Vermont. Richard Heller holds FINRA registrations for Series 3, 5, 7, 9, 10, 15, 63, and 65 exams as well as the SIE Exam.
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 02/09/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/10/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
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 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/03/2009
Series 3 - National Commodity Futures Examination
BC
Issued 08/25/1995
Series 15 - Foreign Currency Options Examination
BC
Issued 09/08/1994
Series 5 - Interest Rate Options Examination
BC
Issued 07/21/1984
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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