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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Kos is a financial advisor with over 30 years of experience in the industry. Richard currently works for Sursum Financial LLC, a firm registered with the state of Connecticut. Richard provides investment advice and portfolio management services to individuals, corporations, charitable organizations and pooled investment vehicles. Richard is a Chartered Financial Analyst and has earned the Series 3, 4, 7, 24, 63 and 65 licenses. Richard's previous experience includes positions at firms such as Legend Securities, Inc., JVB Financial Group, LLC, Summit Securities Group LLC, Carolina Capital Markets, Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Fleet Securities, Inc., Chapdelaine Corporate Securities & Co, Research Conversion Corp., Bear, Stearns & Co. Inc., Salomon Brothers Inc. and Frank Russell Securities, Inc.
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.
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.
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CT
02/14/2022 - Present
Sursum Financial LLC (MADISON CT)
NY
07/16/2013 - 01/05/2015
LEGEND SECURITIES, INC. (NEW YORK NY)
NY
11/03/2009 - 04/29/2011
JVB FINANCIAL GROUP, LLC (NEW YORK NY)
NY
04/08/2008 - 07/14/2009
SUMMIT SECURITIES GROUP LLC (NEW YORK NY)
NC
07/03/2007 - 11/27/2007
CAROLINA CAPITAL MARKETS, INC. (CHAPEL HILL NC)
CT
03/29/2006 - 07/03/2007
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW HAVEN CT)
TX
03/28/2002 - 04/08/2004
FLEET SECURITIES, INC. (DALLAS TX)
NY
08/10/2000 - 02/11/2002
CHAPDELAINE CORPORATE SECURITIES & CO (NEW YORK NY)
NY
10/01/1997 - 08/04/2000
RESEARCH CONVERSION CORP. (NEW YORK NY)
NY
09/18/1997 - 08/04/2000
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
06/20/1994 - 09/16/1997
SALOMON BROTHERS INC. (NEW YORK NY)
WA
08/25/1988 - 05/23/1994
FRANK RUSSELL SECURITIES, INC. (SEATTLE WA)
IA
Issued 04/05/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 07/06/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/11/1995
Series 4 - Registered Options Principal Examination
BC
Issued 09/18/1989
Series 24 - General Securities Principal Examination
BC
Issued 01/05/2015
SIE - Securities Industry Essentials Examination
BC
Issued 08/03/1995
Series 3 - National Commodity Futures Examination
BC
Issued 08/20/1988
Series 7 - General Securities Representative Examination
Active
Inactive
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