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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Palmer is a financial advisor with Stifel, Nicolaus & Company, Inc. located in PINEHURST, NC. Richard has been in the industry since 1992. Richard has registrations with FINRA and the states of Texas and North Carolina. Richard Palmer holds Series 63, 65, 7, 8, 9, 10, 31, and SIE licenses.
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.
1
2
NC
10/22/2009 - Present
Stifel, Nicolaus & Company, Inc. (PINEHURST NC)
NC
06/21/2002 - 05/01/2009
WACHOVIA SECURITIES, LLC (PINEHURST NC)
MO
06/15/2002 - 06/20/2002
WACHOVIA SECURITIES, INC. (ST. LOUIS MO)
NC
04/24/1992 - 06/15/2002
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
IA
Issued 01/05/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/14/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 08/03/1995
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/24/2009
Series 31 - Futures Managed Funds Examination
BC
Issued 04/23/1992
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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