Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Weisshaut is an active investment advisor representative and investment advisor representative associated with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been in the securities industry since November 5, 1981. Richard has passed the Series 63, Series 65, Series 7, and SIE exams. Richard is registered in 37 states and the District of Columbia. Richard’s client base includes individuals, high-net-worth individuals, corporations, pension and profit sharing plans, charitable organizations, insurance companies, banking or thrift institutions, and state or municipal government entities. Richard's firm, Merrill Lynch, Pierce, Fenner & Smith Inc., is a large firm with over $1 trillion in assets under management. The firm provides a variety of investment services, including portfolio management, financial planning, and educational seminars.
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
05/31/1989 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (BOCA RATON FL)
IA
Issued 08/08/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/14/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/17/1981
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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