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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Brandon Conn has been in the financial services industry since May 10, 1999. Richard currently works at M Holdings Securities, Inc., where he has been registered since October 16, 2014. Previously, Richard was employed by ROTH CAPITAL PARTNERS, LLC, FUTURETRADE SECURITIES, LLC, GUNNALLEN FINANCIAL, INC, NDB CAPITAL MARKETS, LP, TRADEWAY SECURITIES GROUP, INC., QUEST CAPITAL STRATEGIES, INC., and WALDRON & CO., INC. Richard has a wide range of experience in the industry, including a history of working with high net worth individuals, businesses, and pension and profit-sharing plans. He is also a specialist in providing financial planning, portfolio management, and other advisory services.
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.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
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.
1
2
OR
10/16/2014 - Present
M Holdings Securities, Inc. (PORTLAND OR)
CA
01/05/2006 - 10/09/2014
ROTH CAPITAL PARTNERS, LLC (NEWPORT BEACH CA)
CT
02/15/2005 - 01/04/2006
FUTURETRADE SECURITIES, LLC (GREENWICH CT)
FL
05/17/2004 - 10/08/2004
GUNNALLEN FINANCIAL, INC (TAMPA FL)
NY
03/03/1998 - 06/26/2002
NDB CAPITAL MARKETS, LP (NEW YORK NY)
CA
01/09/1998 - 03/09/1998
TRADEWAY SECURITIES GROUP, INC. (CARLSBAD CA)
CA
02/02/1997 - 12/05/1997
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
CA
01/01/1997 - 01/31/1997
WALDRON & CO., INC. (IRVINE CA)
BC
Issued 12/30/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/12/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 12/24/1996
Series 7 - General Securities Representative Examination
BC
Issued 03/14/1996
Series 3 - National Commodity Futures Examination
Active
Inactive
F
FINRA
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