Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Austin Brown is a financial advisor with over 8 years of experience in the industry. Richard is currently registered with Capital One Securities, Inc. and is located in New York, NY. Richard has previously worked at BARCLAYS CAPITAL INC. and has a broad range of experience with both securities and investment banking. Richard holds Series 63, SIE and Series 79 licenses.
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.
1
2
NY
10/20/2022 - Present
Capital ONE Securities, Inc. (New York NY)
NY
03/31/2014 - 05/12/2022
BARCLAYS CAPITAL INC. (NEW YORK NY)
BC
Issued 02/24/2014
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/31/2014
Series 79 - Investment Banking Registered Representative Examination
Active
Inactive
F
FINRA
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