Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Thomas Smith is a financial advisor with over 27 years of experience in the financial services industry. Richard is a Certified Financial Planner and holds a Series 6, 7, 22, 24, 63 and 65 securities licenses. Richard is currently registered with Avantax Advisory Services, where he provides financial planning, investment management, and other financial services to individual and business clients. Richard has a history of working with clients in the areas of retirement planning, insurance, and tax preparation.
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.
Solicitor referral services to third-party investment managers; participant enrollment meetings
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.
Solicitor fees
1
2
TX
05/05/2016 - Present
Avantax Advisory Services (Forney TX)
AZ
11/13/1997 - 09/19/2003
SUNAMERICA SECURITIES, INC. (PHOENIX AZ)
TX
02/05/1997 - 01/11/1999
H.D. VEST INVESTMENT SECURITIES, INC. (DALLAS TX)
TX
02/14/1996 - 10/04/1996
WESTERN AMERICAN SECURITIES CORPORATION (RICHARDSON TX)
TX
01/04/1996 - 02/20/1996
SIGNAL SECURITIES, INC. (FORT WORTH TX)
TX
03/10/1995 - 01/01/1996
H.D. VEST INVESTMENT SECURITIES, INC. (DALLAS TX)
IA
Issued 07/26/1999
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/02/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/16/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/1998
Series 7 - General Securities Representative Examination
BC
Issued 02/13/1996
Series 22 - Direct Participation Programs Representative Examination
BC
Issued 03/09/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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