Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Warren Flood is a financial advisor with over 50 years of experience in the industry. Richard is registered with LPL Financial LLC in South Burlington, Vermont. In addition to LPL Financial LLC, Richard has previously been registered with other firms, including Lincoln Financial Securities Corporation, Provident National Equities, Inc., CG Equity Sales Company, PLA Securities Corporation, The Mutual Life Insurance Company of New York, and MONY Sales, Inc. Richard holds Series 63 and Series 65 licenses as well as a Series 24 license and has also passed the Series 1, Series 7TO, and SIE exams. Richard has a long history of providing financial advice to a range of clients, including individuals, families, businesses, and retirement plans. Richard is dedicated to helping clients achieve their financial goals.
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
VT
06/01/2018 - Present
LPL Financial LLC (SOUTH BURLINGTON VT)
VT
08/04/1982 - 06/05/2018
LINCOLN FINANCIAL SECURITIES CORPORATION (SOUTH BURLINGTON VT)
NA
01/14/1977 - 09/15/1982
PROVIDENT NATIONAL EQUITIES, INC.
NA
10/30/1969 - 05/22/1980
CG EQUITY SALES COMPANY
NA
05/16/1972 - 01/14/1977
PLA SECURITIES CORPORATION
NA
01/15/1973 - 04/23/1973
THE MUTUAL LIFE INSURANCE COMPANY OF NEW YORK
NA
01/15/1973 - 04/22/1973
MONY SALES, INC.
IA
Issued 12/11/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/08/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/25/2000
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/19/1968
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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