Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Smith is a financial professional with over 1 year of experience in the securities industry. Richard is currently registered with Rivington Securities, LLC, which is located in Houston, Texas. Richard holds the Series 62, 63, 79, 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.
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.
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2
TX
08/27/2018 - Present
Rivington Securities, LLC (HOUSTON TX)
BC
Issued 09/24/2018
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/19/2018
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/27/2018
Series 62 - Corporate Securities Limited Representative Examination
Active
Inactive
F
FINRA
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