Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Gabriele is a financial advisor who has been in the industry since 2002. Richard is currently registered with Neuberger Berman BD LLC. Richard has also worked for J.P. MORGAN SECURITIES LLC, CITI PRIVATE ADVISORY, LLC, CITIGROUP GLOBAL MARKETS INC., J.P. MORGAN SECURITIES INC., CHASE INVESTMENT SERVICES CORP., NATIONAL SECURITIES CORPORATION, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, and J.P. TURNER & COMPANY, L.L.C. Richard is registered in 53 states and jurisdictions for broker-dealer activities and 1 state for investment advisory activities. Richard holds the Series 7TO, SIE, Series 31, and Series 7 licenses for broker-dealer activities. Richard also holds the Series 66 and Series 63 licenses for both broker-dealer and investment advisory activities. Richard holds the Series 24, Series 10, Series 9, and Series 4 licenses as a principal.
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A percentage of the total value of assets under management is charged.
1
2
NY
08/16/2022 - Present
Neuberger Berman BD LLC (NEW YORK NY)
NY
05/24/2018 - 09/15/2020
J.P. MORGAN SECURITIES LLC (Brooklyn NY)
NY
02/16/2017 - 09/27/2017
CITI PRIVATE ADVISORY, LLC (New York NY)
NY
07/23/2015 - 09/27/2017
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
NY
10/01/2008 - 08/03/2015
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
07/05/2006 - 10/01/2008
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
12/01/2004 - 07/10/2006
CHASE INVESTMENT SERVICES CORP. (FRESH MEADOWS NY)
FL
08/05/2003 - 11/05/2004
NATIONAL SECURITIES CORPORATION (BOCA RATON FL)
NY
11/01/1999 - 08/07/2001
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
GA
06/10/1999 - 09/27/1999
J.P. TURNER & COMPANY, L.L.C. (ATLANTA GA)
NY
09/29/1998 - 06/15/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/25/1996 - 12/08/1997
JOSEPH STEVENS & COMPANY, INC. (BROOKLYN NY)
BOTH
Issued 11/09/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/04/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/21/2022
Series 24 - General Securities Principal Examination
BC
Issued 07/21/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/21/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 07/21/2022
Series 4 - Registered Options Principal Examination
BC
Issued 07/21/2022
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/11/2017
Series 31 - Futures Managed Funds Examination
BC
Issued 10/24/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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