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Richard Francis Flynn

Barclays Capital Inc.

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About Richard Francis Flynn

Richard Francis Flynn is a financial advisor with over 39 years of experience in the industry. Richard currently works at Barclays Capital Inc. and has previously worked at Lehman Brothers Inc., Lehman Government Securities Inc., Lehman Special Securities Inc., Lehman Brothers Kuhn Loeb Incorporated, and Merrill Lynch Funds Distributor, Inc. Richard is registered in 53 states and the District of Columbia.

Firm Information

Richard Flynn is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Richard Flynn’s Registration & Firm History

MA

09/22/2008 - Present

Barclays Capital Inc. (BOSTON MA)

MA

05/02/1983 - 09/22/2008

LEHMAN BROTHERS INC. (BOSTON MA)

NA

07/25/1987 - 10/23/1995

LEHMAN GOVERNMENT SECURITIES INC.

NA

11/14/1988 - 07/18/1994

LEHMAN SPECIAL SECURITIES INC.

NA

05/16/1983 - 06/27/1984

LEHMAN BROTHERS KUHN LOEB INCORPORATED

NA

05/25/1982 - 05/12/1983

MERRILL LYNCH FUNDS DISTRIBUTOR, INC.

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Licenses & Designations

BC

Issued 03/10/1983

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/03/1988

Series 3 - National Commodity Futures Examination

BC

Issued 01/15/1983

Series 7 - General Securities Representative Examination

BC

Issued 04/30/1982

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Richard Francis Flynn.
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