Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Davies is a financial advisor with over 25 years of experience in the industry. Richard is currently registered with LPL Financial LLC and is located in Columbia, Maryland. Richard holds several securities licenses, including Series 6, Series 7, and Series 65, as well as the Securities Industry Essentials (SIE) exam. Richard has worked with a variety of financial institutions over his career, including Nathan & Lewis Securities, Inc., H. Beck, Inc., and Copeland Equities, Inc.
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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2
MD
06/10/2003 - Present
LPL Financial LLC (COLUMBIA MD)
NY
03/29/1999 - 06/27/2003
NATHAN & LEWIS SECURITIES, INC. (NEW YORK NY)
MD
09/30/1998 - 03/30/1999
H. BECK, INC. (ROCKVILLE MD)
NJ
01/09/1996 - 04/09/1998
COPELAND EQUITIES, INC. (SOMERSET NJ)
IA
Issued 01/18/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/15/2020
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/05/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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