Unclaimed
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 Vanguard Marketing Corp. based in Charlotte, NC. Richard has been in the financial services industry since 2024. Richard is registered with the Financial Industry Regulatory Authority (FINRA) and holds Series 63, Series 7TO and SIE licenses. Richard is also registered with the state of North Carolina.
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.
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.
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NC
07/09/2024 - Present
Vanguard Marketing Corp. (CHARLOTTE NC)
BC
Issued 07/29/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/09/2024
Series 7TO - General Securities Representative Examination
BC
Issued 09/24/2021
SIE - Securities Industry Essentials Examination
Active
Inactive
F
FINRA
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