Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Cardinal is a financial advisor with Janney Montgomery Scott LLC. Richard has been working in the financial services industry since 1997. Richard holds the following licenses and certifications: Series 3, Series 7, Series 31, Series 63, Series 65, and SIE. Richard is also a Certified Financial Planner. Richard specializes in providing financial planning and investment management services to individuals, families, businesses, and retirement plans. Richard is registered to provide investment advice in 34 states and the District of Columbia.
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.
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.
Fee plus commission
1
2
CT
11/04/2020 - Present
Janney Montgomery Scott LLC (WEST HARTFORD CT)
CT
09/28/2020 - 11/16/2020
LPL FINANCIAL LLC (GLASTONBURY CT)
CT
05/31/2019 - 09/01/2020
LPL FINANCIAL LLC (AVON CT)
CT
06/16/2016 - 06/03/2019
JANNEY MONTGOMERY SCOTT LLC (GLASTONBURY CT)
CT
07/01/2003 - 06/17/2016
WELLS FARGO ADVISORS, LLC (GLASTONBURY CT)
NY
04/05/2000 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
CT
09/30/1999 - 11/19/1999
AMERICAN SKANDIA MARKETING, INC. (SHELTON CT)
CT
06/23/1999 - 09/09/1999
NORTHSTAR DISTRIBUTORS, INC. (STAMFORD CT)
NY
11/21/1997 - 06/04/1999
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
IA
Issued 12/10/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/25/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/03/2003
Series 3 - National Commodity Futures Examination
BC
Issued 03/23/1998
Series 31 - Futures Managed Funds Examination
BC
Issued 11/19/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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