Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Michael? Claim Your ProfileMichael Steven Richards is an active investment advisor with RBC Capital Markets, LLC, based in New York, NY. Previously, Michael was registered with Stifel, Nicolaus & Company, Incorporated. Michael is registered in New York and holds the Series 63, Series 7TO, Series 86, Series 87, and SIE licenses. Michael's current registration with RBC Capital Markets, LLC began on 4/18/2024.
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.
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2
NY
04/18/2024 - Present
RBC Capital Markets, LLC (NEW YORK NY)
NY
02/03/2023 - 04/09/2024
STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)
BC
Issued 04/29/2024
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/27/2024
Series 7TO - General Securities Representative Examination
BC
Issued 02/03/2023
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 01/06/2023
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 10/28/2022
SIE - Securities Industry Essentials 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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