Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Newman has over 20 years of experience in the financial services industry. Richard is a registered representative and investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been with Merrill Lynch since 2011, and before that, was with BANC OF AMERICA INVESTMENT SERVICES, INC. and WACHOVIA SECURITIES, LLC. Richard has a broad range of experience in the financial services industry and is committed to providing his clients with personalized advice and services. Richard's specialties include portfolio management for businesses and individuals, pension consulting and providing educational seminars.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
01/27/2012 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
DC
11/20/2007 - 04/28/2009
BANC OF AMERICA INVESTMENT SERVICES, INC. (WASHINGTON DC)
VA
10/01/2000 - 10/29/2007
WACHOVIA SECURITIES, LLC (MCLEAN VA)
NC
11/30/1998 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
TX
08/20/1998 - 10/23/1998
LLOYD WADE SECURITIES INC. (DALLAS TX)
BC
Issued 09/28/2011
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 02/23/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/28/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/14/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/16/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/11/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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