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 Preis is a financial advisor with over 40 years of experience in the industry. He has been registered with Raymond James & Associates, Inc. since February 2013. Prior to that, Richard worked at Morgan Keegan & Company, Inc., Smith Barney Inc., Drexel Burnham Lambert Incorporated, and Merrill Lynch, Pierce, Fenner & Smith Incorporated. He has a broad range of experience in various investment-related areas, including financial planning, pension consulting, and portfolio management for businesses and individuals. Richard holds various licenses and certifications, including Series 7, 72, 63, 66, and SIE. He has also taken several other exams throughout his career, including the AMEX Put and Call Exam and the Registered Representative Examination. Richard is dedicated to providing his clients with personalized financial advice and guidance.
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
LA
02/13/2013 - Present
Raymond James & Associates, Inc. (BATON ROUGE LA)
LA
09/09/1994 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (BATON ROUGE LA)
NY
05/22/1989 - 09/23/1994
SMITH BARNEY INC. (NEW YORK NY)
NA
07/02/1982 - 05/22/1989
DREXEL BURNHAM LAMBERT INCORPORATED
NA
09/26/1978 - 07/12/1982
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
01/28/1974 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BOTH
Issued 08/25/2016
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/16/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/08/1977
PC - AMEX Put and Call Exam
BC
Issued 01/23/1974
Series 1 - Registered Representative 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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