Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Smalley is a financial advisor who has been in the industry since 1985. Richard is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Sarasota, Florida. Richard also has prior experience with other firms, including Prudential Securities Incorporated, PaineWebber Incorporated, Kashner Davidson Securities Corporation, J. W. Gant & Associates, Inc. and R.B. Marich, Inc. Richard is a Series 7, Series 9, Series 10, Series 31, Series 63, and Series 65 licensed professional. Richard holds registrations in 29 states, including Florida, Texas, California, and New York. Richard provides advisory services for businesses, individuals and pension plans.
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
FL
02/27/1997 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (SARASOTA FL)
NY
05/27/1994 - 02/25/1997
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
08/24/1988 - 05/13/1994
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
06/03/1986 - 09/07/1988
KASHNER DAVIDSON SECURITIES CORPORATION
NA
12/09/1985 - 01/02/1986
J. W. GANT & ASSOCIATES, INC.
NA
10/29/1985 - 12/13/1985
R.B. MARICH, INC.
NA
06/18/1985 - 11/01/1985
J. W. GANT & ASSOCIATES, INC.
IA
Issued 10/12/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/19/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/15/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/29/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 06/15/1985
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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