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 Smith is a financial professional with over 20 years of experience in the industry. Richard is currently registered with Stifel, Nicolaus & Company, Inc. and Stifel Independent Advisors, LLC. Richard previously worked for Miller Buckfire & Co., LLC. Richard holds the Series 27, Series 99TO, and SIE licenses. Richard specializes in investment clubs, insurance companies, charitable organizations, high-net-worth individuals, pooled investment vehicles, banking or thrift institutions, pension and profit-sharing plans, corporations or other businesses, individuals other than high-net-worth, and state or municipal government entities. Richard is a dedicated financial professional committed to providing exceptional service to his clients.
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.
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
NY
01/20/2023 - Present
Stifel, Nicolaus & Company, Inc. (NEW YORK NY)
NY
11/27/2015 - 10/02/2023
MILLER BUCKFIRE & CO., LLC (NEW YORK NY)
BC
Issued 10/30/2003
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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