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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 Brian Pombo is a financial advisor with over 20 years of experience in the industry. Richard is currently registered with Cadaret, Grant & CO., Inc. in Albany, NY. Before joining Cadaret, Grant & CO., Inc. Richard worked for several other firms, including INVEST FINANCIAL CORPORATION and ROYAL ALLIANCE ASSOCIATES, INC. Richard is a licensed securities professional with a Series 6, 7, 24, and 63 license, along with the SIE. Richard also holds a principal license. Richard has experience working with a variety of clients, including individuals, businesses, pension and profit-sharing plans, and charitable organizations. Richard provides financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals.
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.
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2
NY
02/27/2014 - Present
Cadaret, Grant & CO., Inc. (ALBANY NY)
NY
02/17/2006 - 07/24/2008
INVEST FINANCIAL CORPORATION (LATHAM NY)
AZ
04/24/2001 - 02/21/2006
ROYAL ALLIANCE ASSOCIATES, INC. (SCOTTSDALE AZ)
MA
01/23/2001 - 04/19/2001
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
BC
Issued 01/23/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/16/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/13/2007
Series 7 - General Securities Representative Examination
BC
Issued 01/22/2001
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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