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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Dragotta is a financial advisor registered with LPL Financial LLC. Richard has been in the industry for over 30 years and is registered in 53 states and the District of Columbia, as well as in Texas as an Investment Advisor Representative. His previous employment includes UBS PaineWebber Inc. and Merrill Lynch, Pierce, Fenner & Smith Incorporated. Richard holds several professional designations and has passed numerous industry exams. His primary focus is on providing financial planning, consulting, and portfolio management services to individuals, businesses, and charitable organizations. Richard is also a FINRA Arbitrator and is involved in various other businesses.
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.
Consulting and other non-discretionary advisory services
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
NJ
03/15/2023 - Present
LPL Financial LLC (PARAMUS NJ)
NJ
09/03/1999 - 04/02/2003
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
11/05/1991 - 09/29/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 06/30/2000
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/27/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 11/23/2005
Series 53 - Municipal Securities Principal Examination
BC
Issued 03/11/1998
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/08/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 11/04/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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