Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Richmond is a financial advisor at RBC Capital Markets, LLC. Brian has been in the industry since 2002 and holds Series 7, 31, and 66 licenses. Brian has worked at several large financial institutions throughout his career, including Citigroup Global Markets Inc., Deutsche Bank Securities Inc., and Banc of America Investment Services, Inc. Brian focuses on providing financial planning, portfolio management, and pension consulting services to a wide range of clients, including high-net-worth individuals, corporations, and institutional clients.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
1
2
CA
08/23/2016 - Present
RBC Capital Markets, LLC (SEAL BEACH CA)
CA
07/01/2011 - 02/27/2013
CITIGROUP GLOBAL MARKETS INC. (LOS ANGELES CA)
CA
10/15/2007 - 07/08/2011
DEUTSCHE BANK SECURITIES INC. (LOS ANGELES CA)
CA
08/02/2004 - 10/17/2007
BANC OF AMERICA INVESTMENT SERVICES, INC. (LOS ANGELES CA)
NY
01/07/2002 - 08/06/2004
MORGAN STANLEY DW INC. (PURCHASE NY)
BOTH
Issued 01/18/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/31/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 01/04/2002
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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