Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Lee Snipes has been an active advisor in the industry since June 1992. Currently, Richard is registered with Raymond James & Associates, Inc. as an Investment Advisor Representative in the Anderson branch office in Indiana. Richard also has branches in Alachua, Florida. Richard has been with this firm since December 2002. Prior to Raymond James & Associates, Inc., Richard was associated with McDonald Investments Inc. for 3 years and 7 months. During this time, Richard worked in their Cleveland, Ohio office. Before that, Richard was registered with Key Investments Inc. in their Cleveland, Ohio office for 2 years. Before Key Investments Inc., Richard worked for Legg Mason Wood Walker, Incorporated in Baltimore, Maryland for 1 year and 1 month. Prior to Legg Mason Wood Walker, Incorporated, Richard worked for Smith Barney Inc. in New York, New York for 2 years and 11 months. Richard's experience also includes working for Lehman Brothers Inc. in New York, New York for 1 year and 2 months. Richard is licensed to offer securities advice in 32 states, and also holds a Series 63, Series 65, Series 3, Series 7, Series 9, Series 10, Series 31 and SIE licenses. Richard has a wide range of experience in the financial industry, specializing in various areas including portfolio management for individuals and businesses. Richard is also a registered Investment Advisor in Florida, Indiana and Texas.
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.
Please see note in schedule d - miscellaneous
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
IN
03/28/2017 - Present
Raymond James & Associates, Inc. (Anderson IN)
OH
05/14/1999 - 12/20/2002
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
OH
06/19/1997 - 05/14/1999
KEY INVESTMENTS INC. (CLEVELAND OH)
MD
06/03/1996 - 06/23/1997
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
07/31/1993 - 06/27/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
06/11/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 08/24/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/01/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 4 - Registered Options Principal Examination
BC
Issued 01/20/2004
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/16/2004
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/05/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 05/26/1992
Series 7 - General Securities Representative Examination
BC
Issued 10/16/1991
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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