Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard McDowell is a financial advisor with Raymond James & Associates, Inc. based in Frisco, Texas. Richard has been in the financial services industry since 1991 and has held a variety of roles at several firms, including Bear, Stearns & Co. Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard has a wide range of experience in the financial services industry, including providing financial planning, portfolio management, and investment advisory services. Richard is registered to offer securities and investment advisory services in several states including Texas, California, and Florida.
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
TX
01/26/2007 - Present
Raymond James & Associates, Inc. (Frisco TX)
TX
01/03/2003 - 12/01/2006
OPPENHEIMER & CO. INC. (DALLAS TX)
NY
04/18/2001 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
09/22/2000 - 04/17/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
10/18/1999 - 09/15/2000
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
06/12/1996 - 11/01/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/31/1993 - 06/17/1996
SMITH BARNEY INC. (NEW YORK NY)
NY
03/17/1993 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
12/03/1991 - 09/04/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
12/03/1991 - 09/04/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
IA
Issued 04/23/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/09/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/11/2011
Series 24 - General Securities Principal Examination
BC
Issued 06/13/2011
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/05/2011
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/14/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 04/06/1993
Series 7 - General Securities Representative Examination
BC
Issued 12/02/1991
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Richard McDowell is the right advisor for you? Invested Better is here to help.
