Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Pluta is a financial professional with over 40 years of experience in the financial services industry. He has been registered with Merrill Lynch, Pierce, Fenner & Smith Inc. since 1982. Richard is a Series 7, Series 31, and Series 63 licensed professional. Richard is a member of the Financial Industry Regulatory Authority (FINRA) and has a strong track record of success in providing financial advice to a variety of clients, including high-net-worth individuals, corporations, and institutions. Richard is dedicated to providing his clients with personalized financial advice and guidance to help them achieve their financial goals.
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
11/03/2011 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
BC
Issued 02/09/1984
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/20/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 01/21/1984
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
Not sure Richard Pluta is the right advisor for you? Invested Better is here to help.
