Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Coffin is a financial professional with over 20 years of experience in the financial services industry. Richard has a strong background in securities and investments, holding multiple licenses including Series 3, 7, 63 and 65. Richard is currently registered with Wells Fargo Securities, LLC, in New York. Previously, Richard was employed with firms including Financial Northeastern Securities, Inc., Innovation Partners LLC, Fort Ghent Brokerage LLC, Barclays Capital Inc., and Lehman Brothers Inc. Richard is committed to providing clients with personalized financial advice and guidance.
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.
1
2
NY
01/11/2021 - Present
Wells Fargo Securities, LLC (New York NY)
NJ
01/03/2018 - 10/16/2018
FINANCIAL NORTHEASTERN SECURITIES, INC. (FAIRFIELD NJ)
NC
05/22/2015 - 12/31/2017
INNOVATION PARTNERS LLC (CHARLOTTE NC)
NY
01/30/2015 - 02/23/2015
FORT GHENT BROKERAGE LLC (NEW YORK NY)
NY
09/22/2008 - 02/26/2013
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
09/23/1997 - 09/22/2008
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 02/11/2022
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 06/01/2017
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/17/1997
Series 7 - General Securities Representative Examination
BC
Issued 05/26/1993
Series 3 - National Commodity Futures 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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