Nathan Richards

Employer firm

Merrill Lynch, Pierce, Fenner & Smith Incorporated CRD 7691

$1.78T regulatory AUM 16,844 advisory clients

Reported services (Item 5G)

• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars
• PERFORMANCE MEASUREMENT REPORTS, ALLOCATION MODELING, IPS, RESEARCH REPORTS AND SERVICES, SEE SCHEDULE D

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 02/2016 → 03/2021
  Stephens Inc.
  Little Rock, AR
• 05/2021 → 01/2022
  Rbc Capital Markets, Llc
  Dallas, TX
• 01/2022 → Present
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Little Rock, AR

Previous Registrations

• 2021-05-25 → 2022-02-04
  Rbc Capital Markets, Llc
  Dallas, TX
• 2016-02-17 → 2021-03-31
  Stephens
  Little Rock, AR
  Chicago, IL
  Boston, MA
• 2015-03-04 → 2016-01-26
  Waddell & Reed
  Portsmouth, NH
• 2011-06-09 → 2015-02-27
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Tulsa, OK
  Little Rock, AR
• 2009-06-01 → 2011-06-03
  Morgan Stanley
  Oklahoma City, OK
  Oklahoma City, OK
  Oklahoma City, OK
• 2007-04-02 → 2009-06-01
  Morgan Stanley & Co. Llc
  Indianapolis, IN
  Oklahoma City, OK
• 2006-06-28 → 2007-04-02
  Morgan Stanley Dw Inc.
  Oklahoma City, OK
  Indianapolis, IN

Exams

• S65 Uniform Investment Adviser Law Examination
  2006-06-22
• S63 Uniform Securities Agent State Law Examination
  1999-09-02

Other Names

• Nathan Grant Richards
• Nathan Grant Richards