RG
RG
Richard Greenwald
39 Years of Experience
West Conshohocken, PA
2 DisclosuresBroker
Richard Greenwald is a registered investment advisor at Raymond James & Associates, INC., based in West Conshohocken, PA, with 39 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
Loading...
Location
300 Conshohocken State Road, Suite 400, West Conshohocken, PA, 19428
Get directionsHistory
Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
September 2005Denied
Customer Dispute
May 2001Settled
Other Business Activities
Richard has a private investment in Opyn Market, a transparent health marketplace. He dedicates minimal time to this investment, including during trading hours.
Employment History
Current Registrations
Raymond James & Associates, INC.
April 2014 - Present · 12 yrs 1 mo
Raymond James & Associates, INC.Broker
September 2002 - Present · 23 yrs 8 mos
Previous Registrations
Wachovia Securities, INC.Broker
October 1999 - October 2002 · 3 yrs
Wachovia Securities, INC.
March 1993 - October 2002 · 9 yrs 7 mos
First Union Capital Markets CORP.Broker
April 1990 - October 1999 · 9 yrs 6 mos
Halpert and Company, INC.Broker
December 1986 - April 1990 · 3 yrs 4 mos
State Registrations39 states
AKALAZCACOCTDCDEFLGAIAIDILINMAMDMEMIMNMOMTNCNDNHNJNVNYOHORPASCSDTNTXUTVAVTWAWI
AdvisorBrokerBoth
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.
Exams
No exam information available for this advisor.