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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 a financial advisor with over 25 years of experience in the financial services industry. Richard is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. in Florida and Texas. Richard previously worked for CITIGROUP GLOBAL MARKETS INC. and INVESTORS ASSOCIATES, INC. Richard holds Series 7, 31, 63, and 65 licenses. He has a strong background in providing financial advice to a variety of clients including individuals, corporations, and institutions. Richard's expertise includes portfolio management, financial planning, and retirement planning.
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 2/19/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/23/2003
Series 31 - Futures Managed Funds Examination
BC
Issued 5/9/1997
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
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