Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard David Cordell is a financial professional with over 40 years of experience in the industry. Richard is currently registered with HSBC Securities (USA) Inc. in California and Texas. Richard has a wide range of experience and expertise in the financial services industry, including securities, commodities, and investment advisory. Richard holds a variety of licenses and certifications, including Series 3, 7, 8, 9, 10, 15, 66, and SIE. Richard is also a Certified Financial Planner. Richard is committed to providing clients with personalized financial advice and solutions. Richard also has a dual role as a Bank Officer for HSBC Bank (USA) N.A., an affiliate of HSBC Securities (USA) Inc., where Richard engages in the sale of bank-related products and 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.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Provide asset alloc recommendations & based upon such recommendations 3rd party adv to manage assets pursuant to client approval
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.
Fees calculated based on the performance of your investments relative to a benchmark.
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2
CA
03/14/2019 - Present
Hsbc Securities (usa) Inc. (YORBA LINDA CA)
CA
11/27/1978 - 03/13/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (LAGUNA HILLS CA)
BOTH
Issued 10/15/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/22/1983
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/05/1984
Series 15 - Foreign Currency Options Examination
BC
Issued 02/08/1984
Series 3 - National Commodity Futures Examination
BC
Issued 11/18/1978
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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