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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 Leo Sullivan is a financial advisor with Stephens and has been in the industry since April 1982. Richard has a wide range of experience and expertise, including financial planning, portfolio management for individuals and businesses, pension consulting, and educational seminars. Richard is registered to offer securities and investment advisory services in multiple states, including North Carolina, Texas, and many others. Richard is committed to providing personalized service and helping his clients achieve their financial goals.
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.
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.
1
2
AR
04/16/2014 - Present
Stephens (LITTLE ROCK AR)
NC
06/01/2009 - 02/07/2011
MORGAN STANLEY SMITH BARNEY (WINSTON-SALEM NC)
NC
04/29/1982 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WINSTON-SALEM NC)
IA
Issued 06/22/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/13/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 04/17/1982
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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