Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Wayne Smith has been in the financial services industry since 1980. Richard is a Registered Representative of LPL Financial LLC and a Registered Investment Advisor associated with LPL Financial LLC. Richard is a financial advisor specializing in helping clients reach their financial goals through personalized financial planning, investment management and insurance services. Richard holds Series 7, 6, 63, and 24 registrations and has a broad background in the industry. Richard is committed to providing clients with professional financial guidance to help them achieve their 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.
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TX
04/10/1995 - Present
LPL Financial LLC (SAN ANTONIO TX)
PA
01/15/1980 - 03/31/1995
CIGNA FINANCIAL ADVISORS,INC. (RADNOR PA)
BC
Issued 01/17/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/17/1995
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 22TO - Direct Participation Programs Representative Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/21/1995
Series 7 - General Securities Representative Examination
BC
Issued 01/05/1980
Series 1 - Registered Representative Examination
Active
Inactive
F
FINRA
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