Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard William Schmidt is a financial advisor currently affiliated with LPL Financial LLC. Richard has been working in the financial industry since June 21, 1976. Richard has served as a financial advisor at several firms including Morehead Investment Advisors, Inc., Wheat, First Securities, Inc. and First Union Brokerage Services, Inc. Richard is also a registered principal with LPL Financial LLC.
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
NC
09/07/2018 - Present
LPL Financial LLC (CHARLOTTE NC)
NC
12/19/1995 - 05/25/1999
MOREHEAD INVESTMENT ADVISORS, INC. (CHARLOTTE NC)
NC
09/21/1994 - 10/16/1995
WHEAT, FIRST SECURITIES, INC. (CHARLOTTE NC)
NC
08/06/1993 - 05/31/1994
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NY
02/11/1988 - 08/06/1993
GRUNTAL & CO. INCORPORATED (NEW YORK NY)
NA
01/06/1987 - 02/19/1988
L. F. ROTHSCHILD & CO. INCORPORATED
NA
09/14/1984 - 02/02/1987
KIDDER, PEABODY & CO. INCORPORATED
NA
06/24/1983 - 08/31/1984
DEAN WITTER REYNOLDS INC.
NA
06/02/1976 - 06/08/1983
E. F. HUTTON & COMPANY INC
NA
02/27/1976 - 07/04/1976
SMITH BARNEY, HARRIS UPHAM & CO. INC
NA
12/02/1975 - 02/27/1976
SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED
BC
Issued 01/28/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/22/1996
Series 28 - Introducing Broker/Dealer Financial Operations Principal Examination
BC
Issued 04/17/1996
Series 24 - General Securities Principal Examination
BC
Issued 01/02/1996
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/08/1989
Series 3 - National Commodity Futures Examination
BC
Issued 11/15/1975
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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