Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Davis is a financial advisor with Northwestern Mutual Investment Services, LLC, and has been in the industry since April 30, 2000. Richard is registered as a Registered Representative in New Jersey and as an Investment Advisor Representative in New Jersey. Richard has also worked with Transamerica Financial Advisors, Inc., VP Distributors LLC, Rampart Securities, Inc., Natixis Distributors, L.P., Babson Securities Corporation, Standish Fund Distributors, L.P., and Goldman, Sachs & Co.
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.
Investment research; referrals to other advisers
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.
Referral fees
1
2
NY
07/11/2023 - Present
Northwestern Mutual Investment Services, LLC (NEW YORK NY)
MA
03/23/2021 - 11/08/2021
TRANSAMERICA FINANCIAL ADVISORS, INC (BRAINTREE MA)
CT
02/06/2013 - 05/13/2019
VP DISTRIBUTORS LLC (HARTFORD CT)
MA
01/25/2010 - 02/24/2012
RAMPART SECURITIES, INC. (BOSTON MA)
MA
02/19/2009 - 05/18/2009
NATIXIS DISTRIBUTORS, L.P. (BOSTON MA)
NC
08/04/2003 - 02/12/2004
BABSON SECURITIES CORPORATION (CHARLOTTE NC)
MA
03/04/1996 - 10/31/2001
STANDISH FUND DISTRIBUTORS, L.P. (BOSTON MA)
NA
12/21/1982 - 01/09/1989
GOLDMAN, SACHS & CO.
BC
Issued 06/11/2021
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 03/02/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/31/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/27/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 01/23/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 01/26/1983
Series 3 - National Commodity Futures Examination
BC
Issued 12/18/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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