Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Cochran has been in the financial industry since 1968. Richard is currently registered with Stifel, Nicolaus & Company, Inc. Richard has also been registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., Shearson Lehman Hutton Inc., and E. F. Hutton & Company Inc. Richard is a Series 7, Series 63, Series 1, and PC licensed professional. Richard is an experienced financial professional with a history of success in providing financial advice to individuals and institutions.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
OH
02/22/2019 - Present
Stifel, Nicolaus & Company, Inc. (DUBLIN OH)
OH
06/17/2009 - 02/21/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (DUBLIN OH)
OH
07/22/1988 - 07/01/2009
UBS FINANCIAL SERVICES INC. (COLUMBUS OH)
NA
02/15/1988 - 08/06/1988
SHEARSON LEHMAN HUTTON INC.
NA
01/28/1983 - 02/15/1988
E. F. HUTTON & COMPANY INC
NA
09/26/1978 - 03/02/1983
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NA
03/12/1968 - 09/26/1978
MERRILL LYNCH, PIERCE, FENNER & SMITH, INC.
BC
Issued 02/09/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/28/1983
PC - AMEX Put and Call Exam
BC
Issued 03/08/1968
Series 000 - General Securities Principal Examination
BC
Issued 03/08/1968
Series 1 - Registered Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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