Richard Slade, financial advisor Lexington KY
83 score

Richard Slade

CRD Number: 3023203
Current Firm: Keystone Financial Group, LLC

Richard Slade (CRD# 3023203) is an Investment Advisor Representative working at Keystone Financial Group, LLC in Lexington, KY and has over 18 years of experience in the finance industry.

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Company Name Location Dates Years
Keystone Financial Group, LLC Lexington, KY Jan 2013 - Current 3
Lpl Financial, LLC Lexington, KY Dec 2010 - Current 5
J.j.b. Hilliard, W.l. Lyons, Inc. Lexington, KY Feb 1998 - Dec 2010 12
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 1998
S65 NASAA Investment Advisors Law Examination Jun 2000
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for Richard B. Slade
Phone Number: 859-317-8316
Registered State(s):
  • KY
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
Types of Clients
Registered States


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