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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 Ormsby is a financial advisor with RBC Capital Markets, LLC in Milwaukee, Wisconsin. Richard Ormsby has been in the financial services industry since 1995. Richard Ormsby is licensed to offer investment advice in the state of Wisconsin and Texas. Richard Ormsby also holds a variety of licenses and certifications, including the Series 7, 8, 9, 10, 31, 63, and 65. Richard Ormsby is committed to providing clients with comprehensive financial planning and investment management services. Richard Ormsby has experience working with a variety of clients, including individuals, families, businesses, and institutions. Richard Ormsby has a strong track record of success in the financial services industry and is dedicated to helping clients achieve their financial goals.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
WI
05/21/2020 - Present
RBC Capital Markets, LLC (MILWAUKEE WI)
WI
10/10/1995 - 05/22/2020
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (WAUKESHA WI)
IA
Issued 11/03/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/18/1995
Series 63 - Uniform Securities Agent 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 01/29/1999
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/05/2002
Series 31 - Futures Managed Funds Examination
BC
Issued 10/09/1995
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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