Richard NeumanCRD Number: 1092604
Current Firm: Merrill Lynch, Pierce, Fenner & Smith Incorporated
Richard Neuman (CRD# 1092604) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Stamford, CT and has over 35 years of experience in the finance industry.
Altium Wealth Management LLC
American Portfolios Advisors, Inc.
Karagosian Financial Services, Inc.
|Bank Of America, N.a.||Stamford, CT||Jun 2011 - Current||7|
|Merrill Lynch, Pierce, Fenner & Smith Incorporated||New York, NY||Nov 1982 - Current||35|
|Exam Code||Name||Passed Date|
|S63||Uniform Securities State Law Examination||Feb 1983|
|S65||NASAA Investment Advisors Law Examination||Oct 2007|
Total Assets Under Management639,574MILLIONS
Total Number of Accounts1,831,494ACCOUNTS
Average Account Value$349,209
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Financial planning services
- Portfolio management for individuals and/or small businesses
- Portfolio management for pooled investment vehicles (other than investment companies)
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY