Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Louis Horak is a financial advisor in Chicago, Illinois, and has been in the industry since April 22, 1994. Richard is currently registered with Morgan Stanley. Previously, Richard worked for J.P. Morgan Securities LLC, MORGAN STANLEY, UBS Financial Services Inc., KMS Financial Services, Inc., and American Express Financial Advisors Inc. Richard has also worked for IDS Life Insurance Company. Richard holds a Series 6, 7, 9, 10, 24, 63, and 66 license and is registered with the state of Illinois.
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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
IL
04/26/2021 - Present
Morgan Stanley (Chicago IL)
IL
04/28/2020 - 03/01/2021
J.P. MORGAN SECURITIES LLC (Chicago IL)
NY
10/16/2015 - 04/17/2020
MORGAN STANLEY (PURCHASE NY)
IL
09/06/2007 - 08/18/2015
UBS FINANCIAL SERVICES INC. (CHICAGO IL)
WA
04/17/1997 - 09/15/2004
KMS FINANCIAL SERVICES, INC. (SEATTLE WA)
WA
11/20/1989 - 01/08/1996
KMS FINANCIAL SERVICES, INC. (SEATTLE WA)
MN
08/10/1989 - 10/05/1989
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
08/10/1989 - 10/05/1989
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 10/10/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/04/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/21/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/19/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 08/31/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/05/2007
Series 7 - General Securities Representative Examination
BC
Issued 08/09/1989
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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