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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 Morrison is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. based in RESTON, VA. Richard Morrison has been in the industry since 1994. Richard Morrison has licenses in 29 states, and is registered with FINRA, the Securities Investor Protection Corporation (SIPC), and several state securities regulators. Richard Morrison has passed several industry exams, including the Series 3, 7, 9, 10, 63, and 65 exams. Richard Morrison's primary firm, Merrill Lynch, Pierce, Fenner & Smith Inc., provides advisory services for a variety of clients including individuals, businesses, institutions, 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.
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
VA
04/22/1994 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (RESTON VA)
VA
05/16/2008 - 06/05/2008
CITIGROUP GLOBAL MARKETS INC. (MCLEAN VA)
IA
Issued 04/13/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/22/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/02/2002
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/25/2002
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/12/2011
Series 3 - National Commodity Futures Examination
BC
Issued 03/15/1994
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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