Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Barnes is a financial professional with over 30 years of experience in the industry. Richard is currently registered with Southeast Investments, N.c., Inc. and is based in Charlotte, NC. Richard previously worked at firms such as Resource Horizons Group LLC, Dunwoody Brokerage Services, Inc. and SunAmerica Securities, Inc. Richard holds FINRA Series 6, 26, 63 and SIE licenses. Richard is a registered representative in Florida, Georgia, Kentucky, Ohio and West Virginia. Richard specializes in financial planning, portfolio management for individuals and businesses, and the selection of other advisors.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Offer products as a b/d on a commission basis
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2
NC
10/30/2009 - Present
Southeast Investments, N.c., Inc. (CHARLOTTE NC)
GA
09/09/2005 - 11/16/2009
RESOURCE HORIZONS GROUP LLC (MARIETTA GA)
GA
11/12/1998 - 09/06/2005
DUNWOODY BROKERAGE SERVICES, INC. (ATLANTA GA)
AZ
12/18/1996 - 11/13/1998
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
GA
05/26/1992 - 12/03/1996
PFS INVESTMENTS INC. (DULUTH GA)
BC
Issued 05/29/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 04/25/1996
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/21/1992
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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