linkedInfacebook
For AdvisorsLog InContact Us
Invested Better
Unclaimed

Unclaimed

Unclaimed

Richard Leonard Dupuis

Merrill Lynch, Pierce, Fenner & Smith Inc.

Use our Financial Advisor Match Tool to find your ideal match.
UnclaimedThis information is unverified and unclaimed information. Are you Richard? Claim Your Profile

About Richard Leonard Dupuis

Richard Leonard Dupuis is an investment advisor representative associated with Merrill Lynch, Pierce, Fenner & Smith Inc.. Richard has been working in the financial services industry for over 40 years. Richard has a Series 7, Series 66, and SIE license. Richard is registered with the state of Connecticut and has a residency registration in Texas. Richard's previous employment included positions with Dublin Securities, Inc., CBA Securities LLC, Warburg Dillon Read LLC, SBC Warburg Dillon Read Inc., Drexel Burnham Lambert Incorporated, Bear, Stearns & Co., and Smith Barney, Harris Upham & Co., Incorporated.

Firm Information

Richard Dupuis is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc.. Merrill Lynch, Pierce, Fenner & Smith Inc., established in 1958, is a corporation headquartered in NEW YORK, NY. They offer a wide range of financial services, including portfolio management for individuals and businesses, pension consulting, and educational seminars. They are registered with the SEC and in all 50 states, with over 26,000 investment advisor representatives and registered representatives. Their services target high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, and insurance companies. They manage assets exceeding $1 trillion, demonstrating their extensive experience in the financial industry.
Merrill Lynch, Pierce, Fenner & Smith Inc.

ONE BRYANT PARK

NEW YORK, NY 10036

$1.27T

Assets Under Management

16,965

Total Clients

25,158

Total Financial Advisors

Services Offered

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.

check

pension consulting services

Guidance on pension options to ensure a secure financial future.

check

educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

check

selection of other advisors

Helps you choose top advisors aligned with your financial goals.

check

portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

check

portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

check

performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d

Fee Structure

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.

check

fixed fees

Set rates for specific services, regardless of time or assets managed.

check

commissions

Earned based on transactions or products sold.

check

percentage of assets

A percentage of the total value of assets under management is charged.

Find Your Ideal Financial Advisor

1

Finding a financial advisor doesn’t have to be complicated. InvestedBetter’s free tool connects you with advisors who serve your area and fit your financial needs in just 5 minutes.

2

Your matches with an Advisor based on their qualifications and skills to help you achieve your financial goals. Get on the path to financial success today.

Richard Dupuis’s Registration & Firm History

CT

12/02/2014 - Present

Merrill Lynch, Pierce, Fenner & Smith Inc. (STAMFORD CT)

CT

09/28/2000 - 01/23/2001

DUBLIND SECURITIES, INC. (GREENWICH CT)

CT

12/01/1999 - 09/06/2000

CBA SECURITIES LLC (GREENWICH CT)

NY

06/29/1998 - 12/01/1999

WARBURG DILLON READ LLC (NEW YORK NY)

CT

06/13/1984 - 06/29/1998

SBC WARBURG DILLON READ INC. (STAMFORD CT)

NA

11/06/1981 - 07/09/1984

DREXEL BURNHAM LAMBERT INCORPORATED

NA

07/26/1977 - 11/18/1981

BEAR, STEARNS & CO.

NA

01/27/1976 - 07/13/1977

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED

Not sure if Richard Leonard Dupuis is right for you?

Licenses & Designations

BOTH

Issued 02/25/2005

Series 66 - Uniform Combined State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 01/17/1976

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Richard Leonard Dupuis.
Not sure if Richard Leonard Dupuis is right for you?