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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 M. Smith is a financial professional with over 29 years of experience in the financial services industry. Richard is currently registered with Cetera Investment Advisers LLC in Arizona and Texas. Richard has held previous registrations with several other firms, including FIRST FINANCIAL EQUITY CORPORATION, MCDONALD INVESTMENTS INC., U.S. BANCORP PIPER JAFFRAY INC., and DEAN WITTER REYNOLDS INC. Richard offers a range of services to individuals, businesses, and institutions, including financial planning, pension consulting, portfolio management, and educational seminars.
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 2/23/2007
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/23/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 9/11/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 9/10/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/3/1993
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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