Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Galen is a financial advisor with over 30 years of experience in the industry. Currently, Richard is a registered representative with Hilltop Securities Inc. and has been with them since August 2015. Richard has a wide range of experience, having previously worked with Merrill Lynch, Pierce, Fenner & Smith Incorporated, BANC of America Investment Services, Inc., NationsSecurities, Paine Webber Incorporated and Compass Brokerage, Inc. Richard is a licensed investment advisor in Florida, Michigan, Oklahoma, Texas and Washington. Richard is dedicated to providing personalized financial advice to his clients. He has a strong commitment to 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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
A percentage of the total value of assets under management is charged.
12b-1 fees
1
2
TX
06/21/2023 - Present
Hilltop Securities Inc. (DALLAS TX)
TX
10/23/2009 - 08/25/2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DALLAS TX)
TX
01/01/1998 - 10/23/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (ADDISON TX)
NA
06/18/1997 - 01/01/1998
NATIONSSECURITIES
NJ
05/20/1994 - 06/09/1997
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
AL
11/03/1993 - 06/07/1994
COMPASS BROKERAGE, INC. (BIRMINGHAM AL)
NA
06/07/1993 - 10/20/1993
NATIONSSECURITIES
MA
06/15/1992 - 06/07/1993
NATIONSBANC SECURITIES, INC. (BOSTON MA)
NY
01/07/1991 - 06/15/1992
NATIONSBANC CAPITAL MARKETS, INC. (NEW YORK NY)
MA
04/02/1990 - 01/10/1991
NCNB SECURITIES, INC. (BOSTON MA)
NA
02/29/1988 - 04/02/1990
NCNB TEXAS SECURITIES, INC.
NA
02/28/1988 - 04/02/1990
NCNB TEXAS SECURITIES, INC.
IA
Issued 05/15/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/05/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/16/1988
Series 7 - General Securities Representative Examination
BC
Issued 02/26/1988
Series 52 - Municipal Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
N
New York Stock Exchange
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