Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Windatt is a financial professional with over 25 years of experience in the financial services industry. Richard is currently registered with UBS Securities LLC and has previously held positions at ABN AMRO Incorporated, ABN AMRO Securities LLC, A. G. Edwards & Sons, Inc., PRUCO Securities Corporation and The Prudential Insurance Company of America. Richard is registered to provide investment advice in all 50 states, the District of Columbia and Puerto Rico. Richard holds the Series 3, 6, 7, 24 and 63 licenses as well as the SIE exam.
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
CA
12/05/2003 - Present
UBS Securities LLC (SAN FRANCISCO CA)
CT
03/01/2002 - 12/05/2003
ABN AMRO INCORPORATED (STAMFORD CT)
NY
03/01/2001 - 03/01/2002
ABN AMRO SECURITIES LLC (NEW YORK NY)
MO
06/29/1992 - 06/02/1995
A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)
NJ
01/03/1992 - 07/24/1992
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
01/03/1992 - 07/24/1992
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
NJ
07/18/1991 - 11/25/1991
LORD, ABBETT & CO. (JERSEY CITY NJ)
BC
Issued 03/06/2001
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/12/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/07/2011
Series 3 - National Commodity Futures Examination
BC
Issued 02/28/2001
Series 7 - General Securities Representative Examination
BC
Issued 07/16/1991
Series 6 - Investment Company Products/Variable Contracts 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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