Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Chavez is a financial professional with over 30 years of experience in the industry. Richard has a broad range of experience, having worked at firms such as Lehman Brothers Inc., Marquette De Bary Co., Inc., Bear, Stearns & Co. Inc., Wall Street Discount Corporation (The), and South Richmond Securities, Inc. Currently, Richard is registered with Barclays Capital Inc. Richard holds a variety of licenses and qualifications including Series 3, 4, 7, 24, 53, 55, 57TO, 63, 99TO, and SIE. Richard is licensed in all 50 states and the District of Columbia. Richard is a valuable resource for clients seeking financial advice.
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
01/21/2010 - Present
Barclays Capital Inc. (NEW YORK NY)
NY
10/11/2007 - 08/21/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
04/15/1991 - 03/25/1994
MARQUETTE DE BARY CO., INC.
NA
02/21/1990 - 03/20/1991
BEAR, STEARNS & CO. INC.
NA
12/07/1989 - 02/27/1990
WALL STREET DISCOUNT CORPORATION (THE)
NA
09/20/1988 - 05/08/1989
SOUTH RICHMOND SECURITIES, INC.
BC
Issued 10/22/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/22/2018
Series 24 - General Securities Principal Examination
BC
Issued 11/07/2016
Series 4 - Registered Options Principal Examination
BC
Issued 12/10/1993
Series 53 - Municipal Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/07/2010
Series 3 - National Commodity Futures Examination
BC
Issued 11/15/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/09/2007
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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