Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard B. Sherwin is a registered investment advisor representative with Park Avenue Securities LLC in RYE BROOK, NY. Richard has been in the industry since January 15, 2002. Richard is licensed to provide investment advice in 13 states. The states Richard is licensed in include: California, Connecticut, Delaware, Florida, Georgia, Kansas, New Jersey, New York, North Carolina, Ohio, Texas, Virginia, and Washington.
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.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
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.
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NY
06/10/2019 - Present
Park Avenue Securities LLC (RYE BROOK NY)
NY
01/16/2019 - 02/11/2019
PRUCO SECURITIES, LLC. (WHITE PLAINS NY)
NY
09/28/2015 - 11/28/2017
BLOOMBERG TRADEBOOK LLC (NEW YORK NY)
MO
06/01/2006 - 09/21/2015
INSTINET, LLC (ST. LOUIS MO)
NY
04/25/2003 - 06/01/2006
INSTINET, LLC (NEW YORK NY)
NY
06/13/2001 - 07/24/2003
LYNCH, JONES & RYAN, INC. (NEW YORK NY)
NY
05/03/2000 - 12/14/2000
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IA
Issued 12/02/2019
Series 65 - Uniform Investment Adviser Law Examination
BOTH
Issued 09/22/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/31/2002
Series 24 - General Securities Principal Examination
BC
Issued 11/28/2017
SIE - Securities Industry Essentials Examination
BC
Issued 03/06/2006
Series 3 - National Commodity Futures Examination
BC
Issued 07/01/2003
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 05/02/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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