Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Frederick Gress is an active investment advisor representative with RBC Capital Markets, LLC. Richard has been in the financial industry since 1987 and has extensive experience with a variety of investment products and services. Richard holds the Series 7, Series 63, and Series 65 licenses, as well as the SIE designation. Prior to joining RBC Capital Markets, LLC, Richard worked at Morgan Stanley, Morgan Stanley & Co. Incorporated, Citigroup Global Markets Inc., Lehman Brothers Inc., PaineWebber Incorporated, J. T. Moran & Co., Inc., Graystone Nash, Inc., and Hanifen, Imhoff Securities Corp. Richard has a strong track record of success in the financial industry and is committed to providing his clients with personalized financial advice and investment solutions.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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
FL
03/10/2015 - Present
RBC Capital Markets, LLC (Sarasota FL)
FL
06/01/2009 - 03/11/2015
MORGAN STANLEY (SARASOTA FL)
FL
07/20/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (SARASOTA FL)
FL
07/31/1993 - 07/30/2007
CITIGROUP GLOBAL MARKETS INC. (SARASOTA FL)
NY
05/08/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NJ
01/26/1990 - 05/13/1992
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
01/11/1989 - 02/17/1990
J. T. MORAN & CO., INC.
NA
10/19/1988 - 01/18/1989
GRAYSTONE NASH, INC.
NA
01/10/1989 - 01/12/1989
HANIFEN, IMHOFF SECURITIES CORP.
NA
07/26/1984 - 06/28/1985
FIRST JERSEY SECURITIES, INC.
IA
Issued 05/27/2015
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 11/11/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/15/1988
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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