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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 Sowell is an investment advisor representative with Cetera Investment Advisers LLC. Richard has been in the securities industry since May 18, 1987. Cetera Investment Advisers LLC is a registered investment advisor with the Securities and Exchange Commission (SEC). The firm has offices in Schaumburg, Illinois and Plano, Texas. Richard has also worked with AMEGY INVESTMENTS, INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Richard is registered in multiple states including Arkansas, California, Florida, Georgia, Indiana, Louisiana, Mississippi, Missouri, Ohio, Oklahoma, Tennessee, and Texas. Richard's primary office is located in Plano, Texas.
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.
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.
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2
TX
01/21/2014 - Present
Cetera Investment Advisers LLC (PLANO TX)
TX
11/03/2004 - 02/21/2013
AMEGY INVESTMENTS, INC. (DALLAS TX)
NY
07/22/1999 - 10/29/2004
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
RI
05/18/1987 - 08/19/1999
FIDELITY BROKERAGE SERVICES, INC. (SMITHFIELD RI)
IA
Issued 9/23/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 4/27/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 1/2/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/11/1994
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 7/18/1987
Series 7 - General Securities Representative Examination
BC
Issued 5/15/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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