Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Darrell is a financial professional with over 29 years of experience in the industry. Richard is a Series 7, 24, 52TO, 53, 55, 57TO, and 72 licensed professional, holding registrations with FINRA and the state of New York. Richard is currently affiliated with Stifel, Nicolaus & Company, Inc. and has been with the firm since March 15, 2019. Prior to that, Richard was employed with FIRST EMPIRE SECURITIES, INC. from May 2, 1994, to March 15, 2019. Richard specializes in portfolio management for businesses and individuals, as well as financial planning.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
NY
03/15/2019 - Present
Stifel, Nicolaus & Company, Inc. (HAUPPAUGE NY)
NY
05/02/1994 - 03/15/2019
FIRST EMPIRE SECURITIES, INC. (HAUPPAUGE NY)
BC
Issued 03/01/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/21/2013
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/19/1994
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/2007
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 01/14/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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