Unclaimed
Richard Kent Alexander is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been in the industry since 1998 and is registered to provide investment advice in 15 states. Richard has a diverse background with experience in the legal, management and financial services industries. Richard has also earned a number of professional licenses including the Series 6, 7, 63, 66 and SIE 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.
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
AZ
06/30/2021 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SUN CITY AZ)
AZ
01/23/1998 - 07/20/2012
VANGUARD MARKETING CORPORATION (SCOTTSDALE AZ)
BOTH
Issued 05/18/2021
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/26/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/16/2021
Series 7TO - General Securities Representative Examination
BC
Issued 02/13/2020
SIE - Securities Industry Essentials Examination
BC
Issued 01/22/1998
Series 6 - Investment Company Products/Variable Contracts 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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