Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Walesch is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been in the industry since 1997 and has passed the Series 63, Series 65, Series 7, Series 31 and SIE exams. Richard is registered to provide investment advice in Arizona, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Idaho, Illinois, Indiana, Kansas, Maine, Maryland, Massachusetts, Michigan, Minnesota, Missouri, New Hampshire, New Jersey, New Mexico, New York, North Carolina, Ohio, Pennsylvania, South Carolina, Tennessee, Texas, Virginia, Washington and Wisconsin. Richard has previously worked for CITIGROUP GLOBAL MARKETS INC. and INVESTORS ASSOCIATES, INC.. Richard has a specialization in Portfolio Management for Individuals and Businesses.
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
01/22/2009 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (STUART FL)
FL
09/16/1997 - 02/02/2009
CITIGROUP GLOBAL MARKETS INC. (STUART FL)
NJ
05/12/1997 - 07/17/1997
INVESTORS ASSOCIATES, INC. (HACKENSACK NJ)
IA
Issued 11/11/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/19/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/23/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 05/09/1997
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
Not sure Richard Walesch is the right advisor for you? Invested Better is here to help.
