Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you William? Claim Your ProfileWilliam Francis Richard is a financial advisor registered with Cetera Investment Advisers LLC and has been in the industry since May 17, 1997. William Richard has passed the Series 6, Series 7, Series 24, Series 63 and SIE exams. William Richard has held previous roles with Investors Capital Corp., Waddell & Reed, Inc., Hornor, Townsend & Kent, Inc., Nutmeg Securities, Ltd., and Corporate Securities Group, Inc. William Richard is currently registered as an investment advisor representative in Rhode Island. William Richard provides financial planning and investment advice to a range of client types, including individuals, corporations, businesses, charitable organizations, and pension and profit-sharing plans.
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.
A percentage of the total value of assets under management is charged.
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RI
03/21/2024 - Present
Cetera Investment Advisers LLC (NARRAGANSETT RI)
RI
09/20/2007 - 10/03/2016
INVESTORS CAPITAL CORP. (NARRAGANSETT RI)
RI
09/22/2004 - 09/25/2007
WADDELL & REED, INC. (WEST WARWICK RI)
PA
10/30/1998 - 03/04/2004
HORNOR, TOWNSEND & KENT, INC. (HORSHAM PA)
NY
09/18/1998 - 11/05/1998
NUTMEG SECURITIES, LTD. (NEW YORK NY)
MO
10/29/1996 - 09/17/1998
CORPORATE SECURITIES GROUP, INC. (ST. LOUIS MO)
IA
Issued 7/10/2003
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/11/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/9/1999
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/29/1997
Series 7 - General Securities Representative Examination
BC
Issued 10/28/1996
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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