Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Testa has been in the financial services industry for over 27 years and is currently registered with MUFG Securities Americas Inc. Richard has a wide range of experience in the financial industry, having worked at Bear, Stearns & Co. Inc. and Advest, Inc. Richard is a Series 7, 24, 63, and 79 licensed professional with a diverse background in the financial industry. Richard's expertise includes investment banking and general securities. Richard is registered in 51 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.
1
2
NY
07/03/2008 - Present
Mufg Securities Americas Inc. (NEW YORK NY)
NY
06/10/2016 - 10/17/2017
MUFG SECURITIES (CANADA), LTD. (New York NY)
NY
02/17/2005 - 06/19/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
NY
12/02/1997 - 01/03/2005
BEAR, STEARNS & CO. INC. (NEW YORK NY)
CT
09/01/1995 - 12/12/1997
ADVEST, INC. (HARTFORD CT)
BC
Issued 09/14/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/27/2011
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/31/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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