Home  >  BrightScope Advisor Pages  >  Richard Frederick Keier

Information

Firm:
Type: Registered Representative
Description

Richard Keier is a financial professional at Prudential Financial Planning Services, a broker-dealer with over 5,100 registered representatives nationwide. Richard has held an industry securities registration for 31 years and is subject to FINRA oversight.

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Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Richard Frederick Keier has not answered any questions on Financial Q&A.

Top Guides

Richard Frederick Keier has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
High Net Worth Individuals
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Experience and Employment History

Employer Years Dates
The Prudential Insurance Company of America 52 years, 4 months Jan 1962 - Present
Pruco Securities, LLC. 52 years, 4 months Jan 1962 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of , and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

Licenses and Conduct

Regulator
License Status
Registered
Disclosures

No Disclosures Found

As of Date
11/25/2013
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Advisor Exams

Exam Series Passed Date
Uniform Securities Agent State Law Examination Series 63 06/13/1983
Registered Representative Examination Series 1 01/19/1970

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Hourly Charges
  • Fixed Fees