RI
RI
Richard Ina is a registered investment advisor, based in Franklin, TN, with 38 years of industry experience.
Location
3401 Mallory Lane, Suite 435, Franklin, TN, 37067
Get directionsHistory
Regulatory History (2)
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Customer Dispute
September 2002Closed-No Action
Customer Dispute
September 2002Closed-No Action
Other Business ActivitiesSells Insurance
Richard is registered with NewEdge Wealth and Ina Wealth Financial Services, LLC, spending a full-time equivalent on the latter. He also has an S corp called Martec Management Company and participates in fixed insurance business through NewEdge Wealth for minimal time.
Employment History
Current Registrations
New Edge Wealth
June 2023 - Present · 2 yrs 11 mos
Newedge Securities, LLCBroker
June 2023 - Present · 2 yrs 11 mos
Previous Registrations
UBS Financial Services INC.
January 2010 - June 2023 · 13 yrs 5 mos
UBS Financial Services INC.Broker
January 2010 - June 2023 · 13 yrs 5 mos
Wells Fargo Investments, LLCBroker
November 2004 - January 2010 · 5 yrs 2 mos
Wells Fargo Investments, LLC
November 2004 - January 2010 · 5 yrs 2 mos
Banc of America Investment Services, INC.Broker
August 2003 - November 2004 · 1 yr 3 mos
Banc of America Investment Services, INC.
August 2003 - November 2004 · 1 yr 3 mos
Merrill Lynch Pierce Fenner & Smith INC.
June 1998 - August 2003 · 5 yrs 2 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
June 1998 - August 2003 · 5 yrs 2 mos
Smith Barney INC.Broker
July 1993 - June 1998 · 4 yrs 11 mos
Lehman Brothers INC.Broker
April 1989 - July 1993 · 4 yrs 3 mos
At Investment Services CORP.Broker
September 1988 - March 1989 · 6 mos
Kidder, Peabody & CO. IncorporatedBroker
November 1987 - August 1988 · 9 mos
State Registrations26 states
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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.