Richard L. Paler
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Leon Paler, who also goes by Richard L Paler, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1989. Richard had worked at 6 firms and has passed the Series 65, Series 63, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 26, 2004 - December 31, 2021
R.L. PALER INVESTMENT ADVISORS, LLC
December 3, 2003 - January 9, 2007
PRIVATE ASSET MANAGEMENT INC
March 31, 1993 - August 8, 2001
CHARLES SCHWAB & CO., INC.
March 31, 1992 - February 8, 1993
AMERIPRISE ADVISOR SERVICES, INC.
February 16, 1990 - March 27, 1992
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
March 23, 1989 - January 5, 1990
EDWARD JONES
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 11/15/1996
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
R.L. PALER INVESTMENT ADVISORS, LLC
CRD#: 121814 / SEC#:
Contact information
Red Flags
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