Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Testa is a financial advisor who has been active in the industry since 1999. Richard is currently registered with Cambridge Investment Research Advisors, Inc. in Natick, MA. Richard has also worked for firms such as PROSPERA FINANCIAL SERVICES, INC., JESUP & LAMONT SECURITIES CORP, EMPIRE FINANCIAL GROUP, INC., COBURN & MEREDITH, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Richard is a Certified Financial Planner and holds several licenses and certifications, including the Series 7, Series 66, and Series 99TO exams.
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.
Solicitation fees from 3rd party money managers
1
2
MA
10/25/2021 - Present
Cambridge Investment Research Advisors, Inc. (Natick MA)
MA
02/08/2010 - 10/27/2021
PROSPERA FINANCIAL SERVICES, INC. (Natick MA)
MA
12/14/2005 - 02/09/2010
JESUP & LAMONT SECURITIES CORP (BOSTON MA)
FL
05/13/2008 - 12/23/2008
EMPIRE FINANCIAL GROUP, INC. (LONGWOOD FL)
CT
11/16/2004 - 12/15/2005
COBURN & MEREDITH, INC. (SIMSBURY CT)
NY
01/01/1999 - 10/22/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 10/29/2008
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 02/10/1999
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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