Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Harper is a financial advisor with over 20 years of experience in the industry. Richard is currently registered with Foreside Fund Services, LLC and has previously been registered with ALPS Distributors, Inc., RBC Dain Rauscher Inc., Banc One Capital Markets, Inc. and Nuveen Investments. Richard holds the Series 7 and Series 63 licenses. Richard is 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
12/16/2014 - Present
Foreside Fund Services, LLC (New York NY)
NY
05/11/2007 - 12/31/2014
ALPS DISTRIBUTORS, INC. (NEW YORK NY)
NY
07/06/2004 - 12/01/2005
RBC DAIN RAUSCHER INC. (NEW YORK NY)
IL
08/05/2003 - 07/14/2004
BANC ONE CAPITAL MARKETS, INC. (CHICAGO IL)
CO
07/24/2002 - 05/28/2003
ALPS DISTRIBUTORS, INC. (DENVER CO)
IL
02/21/2000 - 06/05/2002
NUVEEN INVESTMENTS (CHICAGO IL)
BC
Issued 03/26/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/2000
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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