Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you John? Claim Your ProfileJohn Richter is a securities professional with experience in the financial services industry. John is currently registered with Lazard Asset Management Securities LLC and is based in New York, New York. John has held previous positions with Gilford Securities Incorporated and UBS Financial Services Inc. John holds the Series 66, Series 7, and Series 87 licenses. John obtained the Series 66 license in 2002. John is registered with the state of New York.
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.
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.
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2
NY
06/06/2017 - Present
Lazard Asset Management Securities LLC (NEW YORK NY)
NY
02/27/2006 - 10/19/2015
GILFORD SECURITIES INCORPORATED (NEW YORK NY)
NJ
01/18/2002 - 09/22/2005
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
BOTH
Issued 02/14/2002
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/24/2012
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 01/17/2002
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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