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Richard Francis Polhemus

Moelis & Co. LLC

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About Richard Francis Polhemus

Richard Francis Polhemus is a financial professional with over 25 years of experience in the industry. He is currently registered with Moelis & Co. LLC, a leading independent investment bank, and has previously held positions with other prominent firms, including MORGAN STANLEY & CO. LLC, J.P. MORGAN SECURITIES LLC, and HAMBRECHT & QUIST LLC. Richard has a broad range of experience in the financial services industry, including investment banking, securities trading, and financial advisory services. His expertise spans various financial markets and product areas, making him a well-rounded and knowledgeable financial advisor.

Firm Information

Richard Polhemus is currently registered with Moelis & Co. LLC. Moelis & Co. LLC is a Limited Liability Company that was formed on June 12, 2007. The firm is registered with the SEC and in all 50 states, as well as the District of Columbia and Puerto Rico.

Not reported

Assets Under Management

Not reported

Total Clients

154

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 Polhemus’s Registration & Firm History

CA

10/06/2022 - Present

Moelis & Co. LLC (SAN FRANCISCO CA)

CA

10/10/2011 - 10/19/2022

MORGAN STANLEY & CO. LLC (San Francisco CA)

CA

10/01/2008 - 09/16/2011

J.P. MORGAN SECURITIES LLC (SAN FRANCISCO CA)

CA

02/01/2000 - 10/01/2008

J.P. MORGAN SECURITIES INC. (SAN FRANCISCO CA)

CA

10/14/1997 - 02/01/2000

HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)

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Licenses & Designations

BC

Issued 12/22/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 08/03/2007

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 79TO - Investment Banking Registered Representative Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/13/1997

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Francis Polhemus.
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