Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Steiner is a financial advisor who has been in the industry since 1996. Richard is currently registered with Piper Sandler & Co. and has previously been registered with RBC Capital Markets, LLC, BNP Paribas Securities Corp., ITG INC., Schwab Capital Markets L.P., SPEAR, LEEDS & KELLOGG, L.P., EQUICO SECURITIES, INC. and THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES. Richard has a strong background in providing investment advice and specializes in analytical reports/public finance consulting program and portfolio management for 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.
Custom portfolio management strategies for businesses to achieve long-term growth.
Analytical reports/public finance consulting program
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.
1
2
GA
02/15/2024 - Present
Piper Sandler & Co. (ATLANTA GA)
GA
07/22/2009 - 02/29/2024
RBC CAPITAL MARKETS, LLC (ATLANTA GA)
NY
10/12/2006 - 02/05/2009
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NY
07/01/2004 - 10/03/2006
ITG INC. (NEW YORK NY)
CT
07/25/2002 - 06/17/2004
SCHWAB CAPITAL MARKETS L.P. (STAMFORD CT)
NY
08/21/1996 - 07/17/2002
SPEAR, LEEDS & KELLOGG, L.P. (NEW YORK NY)
NY
04/13/1993 - 03/07/1994
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
04/13/1993 - 03/07/1994
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
BC
Issued 07/20/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/23/2007
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/28/1998
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 08/20/1996
Series 7 - General Securities Representative Examination
BC
Issued 04/12/1993
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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