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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 Xiaolin Zhu is an investment advisor representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Richard has been in the industry since 2010 and is registered in 30 states. Richard has passed the Series 7, 63, 65, 57TO, 79TO, 99TO and SIE exams. Richard has previously worked with Wells Fargo Securities, LLC. Richard has two outside business activities, both are non-profit and unrelated to the investment industry. Richard's advisory services include portfolio management for individuals and businesses, educational seminars, pension consulting, and selection of other advisors. Richard has a history of working with high-net-worth individuals, charitable organizations, corporations, insurance companies, pension plans and state and municipal government entities.
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
MD
01/11/2024 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (ANNAPOLIS MD)
CA
04/28/2010 - 10/22/2018
WELLS FARGO SECURITIES, LLC (SAN FRANCISCO CA)
IA
Issued 04/20/2019
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 05/17/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/2010
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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