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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 Humphries is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been in the industry since June 1998 and is registered with both FINRA and the states of California and Texas. Richard's expertise covers several areas, including investment advisory services, financial planning, and pension consulting. Richard is also a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. and has been in that role since 1998. He is registered with the state of California and has been active in the industry for over 25 years.
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
CA
04/01/1999 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ENCINO CA)
IA
Issued 02/05/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/03/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/2001
Series 31 - Futures Managed Funds Examination
BC
Issued 06/01/1998
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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