Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Charles Nelson has been in the securities industry since 1987. Richard is currently registered with Joseph Stone Capital LLC, where he has been employed since 2014. Prior to this, Richard was employed at various firms including Ocean Cross Capital Markets LLC, The Williams Capital Group, L.P., Southridge Investment Group LLC, Jesup & Lamont Securities Corp, J Giordano Securities Group, Blaylock & Company, Inc., Morgan Joseph & Co. Inc., ABN AMRO Incorporated, ING Barings LLC, Lehman Brothers Inc., and Kidder, Peabody & Co. Incorporated. Richard holds a Series 63, Series 24, Series 79TO, SIE, Series 87, Series 86, and Series 7 license. Richard is registered in 31 states including Alaska, Arizona, California, Colorado, Connecticut, Florida, Georgia, Idaho, Illinois, Indiana, Iowa, Kansas, Louisiana, Maryland, Massachusetts, Minnesota, Missouri, New Hampshire, New Jersey, New York, North Carolina, North Dakota, Ohio, Oklahoma, Pennsylvania, South Dakota, Texas, Vermont, Washington, Wisconsin, and Wyoming.
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
03/06/2014 - Present
Joseph Stone Capital LLC (GARDEN CITY NY)
CT
08/04/2011 - 02/14/2012
OCEAN CROSS CAPITAL MARKETS LLC (WESTPORT CT)
NY
01/28/2011 - 07/11/2011
THE WILLIAMS CAPITAL GROUP, L.P. (NEW YORK NY)
CT
09/01/2009 - 12/07/2010
SOUTHRIDGE INVESTMENT GROUP LLC (RIDGEFIELD CT)
NY
02/21/2008 - 10/28/2008
JESUP & LAMONT SECURITIES CORP (NEW YORK NY)
CT
01/23/2006 - 01/18/2008
J GIORDANO SECURITIES GROUP (STAMFORD CT)
NY
06/22/2005 - 01/13/2006
BLAYLOCK & COMPANY, INC. (NEW YORK NY)
NY
04/23/2002 - 06/17/2005
MORGAN JOSEPH & CO. INC. (WHITE PLAINS NY)
CT
04/30/2001 - 04/19/2002
ABN AMRO INCORPORATED (STAMFORD CT)
NY
07/08/1995 - 04/30/2001
ING BARINGS LLC (NEW YORK NY)
NY
02/06/1992 - 04/21/1995
LEHMAN BROTHERS INC. (NEW YORK NY)
NY
07/20/1983 - 11/01/1991
KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)
BC
Issued 09/14/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/25/2006
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 02/28/2006
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 02/21/2006
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 07/16/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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