Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Smarg has been in the financial services industry since December 1975 and is currently registered with M Holdings Securities, Inc. and Advisors Trust Planning and Investment Company. Richard has experience in investment advisory services, financial planning, pension consulting, and portfolio management for individuals and businesses. Richard is a Chartered Financial Consultant and has held various licenses throughout his career. Richard is based in Naples, Florida and is dedicated to providing clients with the best possible financial advice and service.
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.
1
2
FL
11/16/2016 - Present
M Holdings Securities, Inc. (NAPLES FL)
MA
03/19/1997 - 11/22/2000
MUTUAL SERVICE CORPORATION (BOSTON MA)
NY
05/03/1999 - 10/19/2000
PARK AVENUE SECURITIES LLC (NEW YORK NY)
NA
02/26/1988 - 05/03/1999
GUARDIAN INVESTOR SERVICES CORPORATION
NY
09/12/1978 - 05/03/1999
GUARDIAN INVESTOR SERVICES CORPORATION (NEW YORK NY)
NA
03/25/1987 - 12/07/1987
MCGINN, SMITH & CO., INC.
NA
12/04/1975 - 11/24/1978
NEL EQUITY SERVICES CORPORATION
IA
Issued 03/19/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/20/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/25/2001
Series 24 - General Securities Principal Examination
BC
Issued 03/27/2001
Series 26 - Investment Company Products/Variable Contracts 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 05/23/2001
Series 7 - General Securities Representative Examination
BC
Issued 11/29/1975
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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