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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 Mandel Stern is an Investment Advisor Representative associated with Raymond James & Associates, Inc. Richard has been in the industry since 1976. Richard's career spans several firms, including Robert W. Baird & Co. Incorporated, Citigroup Global Markets Inc., Kidder, Peabody & Co. Incorporated, and Blunt Ellis & Loewi Incorporated. Richard holds Series 63, 65, and 7 licenses, and has taken the SIE and PC exams. Richard is also a registered representative in 23 states. Richard provides services such as financial planning, pension consulting, educational seminars, and portfolio management for businesses and individuals.
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
FL
04/26/2021 - Present
Raymond James & Associates, Inc. (SARASOTA FL)
FL
05/01/2009 - 05/13/2021
ROBERT W. BAIRD & CO. INCORPORATED (SARASOTA FL)
FL
10/19/1989 - 05/21/2009
CITIGROUP GLOBAL MARKETS INC. (SARASOTA FL)
NY
08/09/1984 - 10/31/1989
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
NA
04/04/1978 - 07/30/1984
BLUNT ELLIS & LOEWI INCORPORATED
NA
07/22/1976 - 04/04/1978
LOEWI & CO., INCORPORATED
IA
Issued 11/16/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/27/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/12/1977
PC - AMEX Put and Call Exam
BC
Issued 07/17/1976
Series 7 - General Securities 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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