Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Troast is a financial advisor with Merrill Lynch, Pierce, Fenner & Smith Inc. He is a registered representative with the Financial Industry Regulatory Authority (FINRA) and has been in the industry since 2003. Richard holds the Series 7, 9, 10, 66, and SIE licenses. He has a strong background in providing financial advice to individuals, businesses, and institutions. Prior to joining Merrill Lynch, Richard worked at several other firms, including Ameriprise Financial Services, Inc., IDS Life Insurance Company, Park Avenue Securities LLC, and American Express Financial Advisors Inc. He specializes in providing a wide range of financial services, including portfolio management, financial planning, and retirement planning.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
NY
12/17/2008 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NJ
05/20/2005 - 10/15/2008
AMERIPRISE FINANCIAL SERVICES, INC. (WESTFIELD NJ)
MN
05/20/2005 - 07/03/2006
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
NY
10/04/2004 - 01/20/2005
PARK AVENUE SECURITIES LLC (NEW YORK NY)
MN
09/26/2002 - 08/20/2004
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
09/26/2002 - 08/20/2004
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
BOTH
Issued 10/09/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/29/2015
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 09/12/2013
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/25/2002
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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