Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Havard is an investment advisor representative with over 30 years of experience in the financial services industry. Richard is currently registered with Calton & Associates, Inc. He is licensed in Arizona, Colorado, Florida, Iowa, New Mexico, New York, North Carolina, South Carolina, and Texas. Richard's previous employers include Dominion Investor Services, Inc., Invest Financial Corporation, Securities America, Inc., Morgan Stanley DW Inc., and Mutuals.Com, Inc. He offers a variety of financial services including financial planning, pension consulting, selection of other advisors, portfolio management for individuals and businesses.
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.
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
TX
10/25/2023 - Present
Calton & Associates, Inc. (Marble Falls TX)
TX
10/20/2017 - 07/20/2023
DOMINION INVESTOR SERVICES, INC. (PROSPER TX)
TX
11/07/2007 - 10/23/2017
INVEST FINANCIAL CORPORATION (PROSPER TX)
TX
03/27/2002 - 11/08/2007
SECURITIES AMERICA, INC. (DALLAS TX)
NY
04/04/2001 - 02/13/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
TX
03/08/1999 - 04/30/2001
MUTUALS.COM, INC. (DALLAS TX)
NA
08/28/1998 - 12/31/1998
1-800 MUTUALS, INC.
TX
09/12/1997 - 09/01/1998
BROKERS TRANSACTION SERVICES, INC. (DALLAS TX)
NA
04/11/1997 - 09/05/1997
GRIFFIN FINANCIAL SERVICES
RI
03/04/1994 - 04/08/1997
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
NA
07/27/1990 - 01/28/1991
MUTUAL BENEFIT FINANCIAL SERVICE COMPANY
IA
Issued 09/30/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/15/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/11/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/03/1994
Series 7 - General Securities Representative Examination
BC
Issued 07/25/1990
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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