Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Randolph Alexander is a registered representative with Stephens. Richard Alexander has over 30 years of experience in the financial industry, with a focus on portfolio management for individuals and businesses. Richard Alexander is also a registered investment advisor in Texas. Stephens is a well-established firm that provides a variety of financial services to individuals, businesses and institutions. The firm specializes in wealth management, investment banking and capital markets.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
TX
04/03/2001 - Present
Stephens (AUSTIN TX)
TN
11/03/1995 - 04/03/2001
MORGAN KEEGAN & COMPANY, INC. (MEMPHIS TN)
NY
07/31/1993 - 11/10/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
08/05/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 08/19/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/07/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/25/1997
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/2013
Series 31 - Futures Managed Funds Examination
BC
Issued 08/04/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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