Richard SladeCRD 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 19 years of experience in the finance industry.
Pierce Financial Planning, Inc.
Investment Professionals, Inc.
Context Financial LLC
|Keystone Financial Group, LLC||Lexington, KY||Jan 2013 - Current||4|
|Lpl Financial, LLC||Lexington, KY||Dec 2010 - Current||6|
|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|
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
Total Assets Under Management215MILLIONS
Total Number of Accounts1,307ACCOUNTS
Average Account Value$164,682
- A percentage of assets under your management
- Hourly charges
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
FL, IN, KY, OH, TN, TX, WA