Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Sung-mo Han is a financial advisor with D.a. Davidson & Co. He has been in the financial services industry for over 14 years. Richard has a wide range of experience in the industry, having worked with clients in various capacities. Richard is registered with the state of California as an Investment Advisor Representative. He has passed several securities licenses, including Series 7, 50, 52TO, 53, 66, 79TO, and SIE. Richard holds a current Series 53 license with the firm and is a registered Municipal Securities Principal. He holds a current Series 7 license with the firm and is a registered General Securities Representative. He is also a registered Investment Advisor Representative with the firm. His specializations include but are not limited to, portfolio management, financial planning, and educational seminars. He currently works out of the Denver, Colorado office.
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
CO
01/05/2016 - Present
D.a. Davidson & Co. (DENVER CO)
MO
10/16/2008 - 01/05/2016
EDWARD JONES (ST. LOUIS MO)
BOTH
Issued 01/13/2009
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/24/2016
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/2017
Series 50 - Municipal Advisor Representative Qualification Exam
BC
Issued 10/15/2008
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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