Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Tony? Claim Your ProfileTony James Richards is a financial advisor with Principal Securities, Inc. Tony is also a registered investment advisor in Alabama. Tony has been in the financial services industry for 6 years and has held registrations with multiple firms throughout his career. Tony has experience with both individual and business clients. Tony is dedicated to helping clients reach their financial goals.
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.
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.
A percentage of the total value of assets under management is charged.
Seminar fees, solicitors fees, subscription consulting fees
1
2
AL
11/14/2022 - Present
Principal Securities, Inc. (MONTGOMERY AL)
AL
07/05/2019 - 10/06/2022
EMPOWER FINANCIAL SERVICES, INC. (MONTGOMERY AL)
AL
02/16/2017 - 12/31/2017
PFS INVESTMENTS INC. (MONTGOMERY AL)
IL
10/15/2013 - 03/09/2015
STATE FARM VP MANAGEMENT CORP. (BLOOMINGTON IL)
IA
Issued 08/29/2016
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/25/2013
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/28/2017
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 12/31/2017
SIE - Securities Industry Essentials Examination
BC
Issued 10/14/2013
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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