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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 Schrum is a financial advisor with Independent Advisor Alliance, LLC. Richard has been in the financial services industry since February 16, 2001, and has a background in providing financial planning and investment advice. Richard is registered as a Registered Investment Advisor (RIA) in North Carolina and Texas. Richard is also a Certified Financial Planner (CFP) and holds Series 7, 24, 31, and 66 securities licenses. Independent Advisor Alliance, LLC, is a Registered Investment Advisor (RIA) with offices in Charlotte, North Carolina. The firm provides financial planning and investment management services to individuals, families, and businesses.
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.
A percentage of the total value of assets under management is charged.
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2
NC
01/10/2019 - Present
Independent Advisor Alliance, LLC (WILMINGTON NC)
NC
12/06/2005 - 10/03/2011
RAYMOND JAMES FINANCIAL SERVICES, INC. (RICHLANDS NC)
NY
10/16/2003 - 12/20/2005
NYLIFE SECURITIES INC. (NEW YORK NY)
NY
12/21/2000 - 08/19/2003
AXA ADVISORS, LLC (NEW YORK NY)
BOTH
Issued 12/23/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 03/03/2008
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/25/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 12/20/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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