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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 Lee Gum is a financial advisor at Morgan Stanley. Richard has been in the financial industry since 1991, holding positions at Merrill Lynch, Pierce, Fenner & Smith Incorporated and PaineWebber Incorporated before joining Morgan Stanley. Richard has a broad range of experience and certifications, including Series 7, Series 63, Series 65 and SIE. Richard specializes in providing investment advice and financial planning to a variety of clients, including individuals, corporations, and institutions. Richard is registered to offer investment advice in 33 states.
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.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
OH
06/13/2016 - Present
Morgan Stanley (Perrysburg OH)
OH
12/08/1994 - 06/09/2016
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (TOLEDO OH)
NJ
10/18/1993 - 12/15/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NY
11/06/1991 - 09/28/1993
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 06/16/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/27/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/05/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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