Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Mazur is a registered investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been in the financial industry since 1973 and has been registered with the firm since 1973. Richard has passed the Series 63, Series 65, Series 1, Series 7, and Series PC exams. Richard provides services for a wide range of clients, including high-net-worth individuals, corporations, pension and profit-sharing plans, and charitable organizations.
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
08/23/1983 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SAN FRANCISCO CA)
NA
01/02/1973 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
IA
Issued 8/12/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 1/27/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 9/8/1977
PC - AMEX Put and Call Exam
BC
Issued 12/20/1972
Series 1 - Registered 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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