Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Allen Thompson is a financial advisor with over 24 years of experience in the financial services industry. Richard is currently registered with Mizuho Securities USA LLC, where they have been employed since July 1, 2016. Previously, Richard was employed with J.P. Morgan Securities LLC and J.P. Morgan Securities Inc. Richard holds several licenses and certifications, including Series 7, 24, 63, 79TO and SIE. They are currently registered in 52 states and the District of Columbia.
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
07/01/2016 - Present
Mizuho Securities USA LLC (NEW YORK NY)
NY
10/01/2008 - 10/02/2014
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
04/16/1997 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
03/26/1993 - 05/21/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 04/24/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/29/2018
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 04/14/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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