Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Allan Eisenberg is a financial advisor currently registered with Smbc Nikko Securities America, Inc. Richard has been in the financial industry since March 10, 1999 and has held previous positions at Nomura Securities International, Inc., UBS Securities LLC, and J.P. Morgan Securities LLC. Richard is licensed to provide financial advice in all 50 states.
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
09/21/2016 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
06/24/2013 - 07/20/2016
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
NY
08/10/2011 - 04/04/2013
UBS SECURITIES LLC (NEW YORK NY)
NY
10/01/2008 - 08/12/2011
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
10/20/1998 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 10/16/1998
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/03/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/13/1998
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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