Richard Taubman
Advisor at Merrill
Updated today
Data sourced from SEC public records (and other sources when available). Some details may be added by the advisor after claiming their profile. Refreshed daily • Updated today.
Firm
Merrill
Location
Prescott, AZ 86301
Credentials
Series 63, Series 65
Industry experience
40 years
About
Richard Taubman is a Senior Financial Advisor with Merrill Lynch Wealth Management and a veteran member of the Karras Poplin Schroeder Group. He specializes in working with publicly traded corporations to design and manage equity award plans and advises senior executives on managing concentrated and restricted stock holdings. His expertise includes drafting 10b5-1 trading plans and portfolio diversification, supported by more than three decades of experience in wealth management and investing.
Beginning his career in 1986 with Morgan Stanley, Richard joined Merrill in 2008, where he holds the designations of Equity Plan Consultant (EPC) and Personal Investment Advisor (PIA). He earned a Bachelor’s degree from Iowa State University. Richard emphasizes precise administration of Rule 144 compliance and tailors client portfolios to individual objectives, including wealth transfer, risk tolerance, cash-flow needs, time horizons, and philanthropic goals.
Richard and his wife reside between the Northern suburbs of Chicago and Prescott, Arizona. They have two adult children. Outside of his professional work, Richard enjoys downhill skiing and is a vintage car collector and racing enthusiast, having competed in events sponsored by the Sports Car Club of America (SCCA) and the International Motor Sports Association (IMSA).
Client services
Portfolio management
Pension consulting
Selection of other advisers
Educational seminars or workshops
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
Expertise
Exec comp design
Liquidity event planning
10b5-1 plan design
Concentrated stock management
Wealth management
Work history
Bank of America, N.A.
2011 - Present (15 years)
Merrill Lynch, PIERCE, FENNER & SMITH INCORPORATED
2008 - Present (18 years)
Disclosures
Disclosures include customer complaints, regulatory actions, employment terminations, bankruptcies, and certain legal protections.
Exclamation point means they have disclosures of this type. Check mark means no disclosures of this type were found.
Business activities & affiliations
These affiliations may expand the services this firm offers and, in some cases, how they are compensated.
Is active or affiliated with:
Insurance agent
They sell insurance products and may earn commissions on those sales.
Broker-dealer / trader
They provide brokerage services and may earn transaction-based compensation in addition to advisory fees.
Bank
They're affiliated with a bank that may offer its own financial products and services.
Trust company
They provide trust and estate administration services, typically for separate fees.
Real estate agent
They facilitate real estate transactions and may earn commissions.
Other specialized services
They may provide services such as pension consulting or municipal advisory work, typically for separate fees.
Is not active or affiliated with:
-
Fund sponsor
They manage or sponsor investment funds and may earn management or performance-based fees if clients invest in them.
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Accountant / CPA / tax prep
They offer tax and accounting services, typically for separate fees.
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Lawyer
They provide legal services, typically billed separately.
Michael C
Series 66
Prescott, AZ
Edward Jones
Lee I
Series 63, Series 65, Series 66
Prescott, AZ
Edward Jones
Dakoda P
CFP®, Series 63, Series 65
Prescott, AZ
Edward Jones
David K
Series 66
Prescott Valley, AZ
Edward Jones
Joseph C
Series 66
Prescott, AZ
Edward Jones
Robert S
Series 63, Series 66
Prescott, AZ
Merrill
Robert Sturgeon is a Senior Financial Advisor with Merrill Lynch Wealth Management. He specializes in managing new wealth, personal retirement planning, portfolio management services, and retirement income. Robert focuses on developing personalized financial strategies to help clients pursue their long-term goals and retire comfortably. He holds the professional designations of Chartered Retirement Planning Counselor (CRPC) and Personal Investment Advisor (PIA). Robert earned a High School Diploma from Prescott High School and attended Yavapai College. He is also involved in community service, volunteering with local organizations in line with Merrill’s tradition of community participation. Outside of his professional role, Robert enjoys boating, camping, hunting, traveling, and spending time with his family.
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