Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Lawrence Elliott is a financial advisor with Facet. Richard has been in the industry since 1993. Richard holds Series 7, 63, 65 and SIE licenses. Richard has experience at a number of other firms such as Citizens Securities, Inc. and TIAA-CREF Individual & Institutional Services, LLC. Richard's firm, Facet, is a registered investment advisor with approximately $1 billion to $10 billion in assets under management. Facet provides financial planning and portfolio management services to individuals and high-net-worth individuals.
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.
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.
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2
MD
02/25/2021 - Present
Facet (BALTIMORE MD)
MA
05/14/2018 - 01/09/2020
CITIZENS SECURITIES, INC. (NORTH ANDOVER MA)
MA
02/20/2007 - 11/10/2015
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC (BOSTON MA)
MA
05/31/2006 - 02/05/2007
SIGNATOR INVESTORS, INC. (BOSTON MA)
NY
04/05/2002 - 10/01/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
RI
01/30/1997 - 04/08/2002
FIDELITY BROKERAGE SERVICES LLC (SMITHFIELD RI)
MN
07/07/1993 - 02/05/1996
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
07/07/1993 - 02/05/1996
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BC
Issued 11/28/2018
Series 63 - Uniform Securities Agent State Law Examination
BOTH
Issued 02/27/2007
Series 66 - Uniform Combined State Law Examination
IA
Issued 07/15/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/01/1993
Series 7 - General Securities Representative Examination
Active
Inactive
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