Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Dorsi is a financial professional with over 30 years of experience in the industry. Richard has been registered with Citigroup Global Markets Inc. since May 2021. Richard has held previous roles at several firms including San Blas Securities LLC, Cabot Lodge Securities LLC, Empire Asset Management Company, Divine Capital Markets LLC, Primary Capital, LLC, Seton Securities Group, Inc., Crown Financial Group, Inc., H.J. Meyers & Co., Inc., Hibbard Brown & Co., Inc., First Investors Corporation, Sherwood Capital, Inc., and First Jersey Securities, Inc. Richard holds several licenses and certifications, including the Series 7, Series 24, Series 55, and Series 63. Richard is also a registered principal and a compliance officer. Richard specializes in providing asset allocation advice, financial planning, and portfolio management for individuals and businesses. Richard is a highly experienced and qualified financial advisor who can help 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.
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.
Asset allocation advice
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
NY
05/06/2021 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NY
03/16/2020 - 04/19/2021
SAN BLAS SECURITIES LLC (New York NY)
NJ
10/20/2020 - 01/25/2021
CABOT LODGE SECURITIES LLC (Hazlet NJ)
NY
08/01/2019 - 03/16/2020
EMPIRE ASSET MANAGEMENT COMPANY (NEW YORK NY)
NY
09/30/2010 - 07/31/2019
DIVINE CAPITAL MARKETS LLC (NEW YORK NY)
NY
06/18/2009 - 09/16/2010
PRIMARY CAPITAL, LLC (NEW YORK NY)
NJ
02/24/2005 - 06/17/2009
SETON SECURITIES GROUP, INC. (UNION BEACH NJ)
NJ
05/08/1995 - 02/24/2005
CROWN FINANCIAL GROUP, INC. (JERSEY CITY NJ)
NY
09/13/1994 - 04/06/1995
H.J. MEYERS & CO., INC. (ROCHESTER NY)
NY
01/14/1991 - 09/15/1994
HIBBARD BROWN & CO., INC. (NEW YORK NY)
NJ
05/31/1990 - 11/02/1990
FIRST INVESTORS CORPORATION (EDISON NJ)
NA
05/24/1988 - 06/07/1988
HIBBARD BROWN & CO., INC.
NA
02/02/1987 - 06/06/1988
SHERWOOD CAPITAL, INC.
NA
07/23/1986 - 01/31/1987
FIRST JERSEY SECURITIES, INC.
BC
Issued 08/27/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 08/15/1994
Series 24 - General 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 03/13/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 07/19/1986
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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