Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Carlin is an active investment advisor representative at LPL Financial LLC. Richard has been in the industry since July 12, 2007 and has worked with several firms, including Edward Jones, PNC Investments and Midamerica Financial Services, Inc. Richard holds a Series 6, 7, 63, 65, and 66 license and is registered in Delaware, New Jersey, New York, Pennsylvania and South Carolina. Richard specializes in providing financial planning, portfolio management for businesses and individuals, and consulting services. Richard also works with insurance companies, charitable organizations, high-net-worth individuals, pension and profit-sharing plans, corporations or other businesses, and state or municipal government entities.
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.
Consulting and other non-discretionary advisory services
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
PA
11/18/2020 - Present
LPL Financial LLC (MCMURRAY PA)
PA
08/10/2019 - 12/09/2020
EDWARD JONES (Pittsburgh PA)
PA
11/01/2012 - 11/20/2013
PNC INVESTMENTS (ERIE PA)
MO
08/24/2011 - 10/18/2012
MIDAMERICA FINANCIAL SERVICES, INC. (JOPLIN MO)
FL
09/18/2009 - 02/25/2010
MUTUAL TRUST CO. OF AMERICA SECURITIES (ST. PETERSBURG FL)
TX
02/23/2005 - 03/14/2008
CHARLES SCHWAB & CO., INC. (WESTLAKE TX)
OH
01/02/2004 - 10/20/2004
VICTORY CAPITAL ADVISERS, INC. (BROOKLYN OH)
OH
03/05/2003 - 12/31/2003
MCDONALD INVESTMENTS INC. (CLEVELAND OH)
ME
01/09/2003 - 01/16/2003
BISYS FUND SERVICES LIMITED PARTNERSHIP (PORTLAND ME)
ME
07/17/2000 - 12/31/2002
BISYS FUND SERVICES LIMITED PARTNERSHIP (PORTLAND ME)
PA
04/24/1998 - 03/10/1999
FEDERATED SECURITIES CORP. (PITTSBURGH PA)
NA
12/17/1987 - 03/07/1988
PHOENIX EQUITY PLANNING CORPORATION
NA
07/22/1987 - 08/29/1987
J. W. GANT & ASSOCIATES, INC.
BOTH
Issued 09/05/2019
Series 66 - Uniform Combined State Law Examination
IA
Issued 12/19/2002
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/14/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/10/2019
Series 7TO - General Securities Representative Examination
BC
Issued 07/17/2019
SIE - Securities Industry Essentials Examination
BC
Issued 07/19/2001
Series 7 - General Securities Representative Examination
BC
Issued 04/23/1998
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
Not sure Richard Carlin is the right advisor for you? Invested Better is here to help.
