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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Smith is a financial advisor with Cetera Investment Advisers LLC and has been in the industry since November 1993. Richard is registered with the state of Arizona, as well as 14 other states. Richard has been affiliated with Cetera Investment Advisers LLC, First Financial Equity Corporation, McDonald Investments Inc., U.S. Bancorp Piper Jaffray Inc., and Dean Witter Reynolds Inc..
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.
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.
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AZ
06/29/2023 - Present
Cetera Investment Advisers LLC (SCOTTSDALE AZ)
AZ
11/01/2006 - 04/20/2022
FIRST FINANCIAL EQUITY CORPORATION (SCOTTSDALE AZ)
AZ
02/16/2001 - 11/07/2006
MCDONALD INVESTMENTS INC. (PHOENIX AZ)
MN
12/19/1997 - 03/01/2001
U.S. BANCORP PIPER JAFFRAY INC. (MINNEAPOLIS MN)
NY
11/18/1993 - 01/09/1998
DEAN WITTER REYNOLDS INC. (PURCHASE NY)
IA
Issued 02/23/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/23/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/11/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/10/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/03/1993
Series 31 - Futures Managed Funds Examination
BC
Issued 11/17/1993
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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