Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard L Mason is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc.. Richard has been in the industry since March 9, 2014 and is registered in 53 states and Puerto Rico. Richard holds the Series 63, 65, 7, 10 and 24 licenses. Richard works with individuals, corporations, pension and profit-sharing plans, charitable organizations, insurance companies, investment companies, state or municipal government entities and banking or thrift institutions. Richard provides financial planning services, performance measurement reports, allocation modeling, IPS, research reports and services, and portfolio management services.
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
TX
08/22/2018 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (DALLAS TX)
IA
Issued 08/22/2018
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/21/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/16/2018
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/10/2014
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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