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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 Basham is a financial advisor with MML Investors Services, LLC. Richard has been in the industry since 1992 and has held a number of registrations with both state and federal regulators. Richard has been registered with MML Investors Services, LLC since March 2017 and is currently registered in North Carolina, South Carolina and Virginia. In the past, Richard has held registrations with a number of firms including MSI Financial Services, Inc. and Metropolitan Life Insurance Company. Richard holds a number of securities licenses, including Series 6, 7, 63 and 65. Richard also holds the Securities Industry Essentials (SIE) exam. Richard has a number of specializations, including financial planning, pension consulting, educational seminars, selection of other advisers, portfolio management for businesses, portfolio management for individuals, and asset allocation programs. Richard's firm, MML Investors Services, LLC, is a registered investment adviser with the Securities and Exchange Commission (SEC). The firm's headquarters are in Springfield, MA. MML Investors Services, LLC, has approximately 7,000 employees and manages approximately $72.8 billion in assets for clients. Richard focuses on working with high net worth individuals, corporations, other businesses, trusts, foundations, insurance companies, charitable organizations, and pension and profit-sharing plans.
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.
Asset allocation programs
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.
A percentage of the total value of assets under management is charged.
Solicitors fees
1
2
NC
03/25/2017 - Present
MML Investors Services, LLC (Winston Salem NC)
NC
03/12/1993 - 03/25/2017
MSI FINANCIAL SERVICES, INC. (WINSTON-SALEM NC)
NC
03/12/1993 - 07/09/2007
METROPOLITAN LIFE INSURANCE COMPANY (WINSTON-SALEM NC)
NE
06/26/1992 - 02/22/1993
MUTUAL OF OMAHA FUND MANAGEMENT COMPANY (OMAHA NE)
IA
Issued 08/23/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/05/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/02/2004
Series 7 - General Securities Representative Examination
BC
Issued 06/25/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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