Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Moorhead is a financial professional with over 30 years of experience in the industry. He is currently a Registered Representative with Citigroup Global Markets Inc. and is registered to provide investment advisory services in New York. Previously, Richard has held positions at NYLIFE Securities LLC, DealerWeb Inc., Rafferty Capital Markets, LLC and J.J. Kenny Drake, Inc. Richard holds the Series 7, 7TO, 52, 63 and 65 licenses and has a strong track record of providing comprehensive financial planning, portfolio management, and investment advice to individual and institutional clients. Richard is dedicated to providing personalized solutions to help clients achieve their financial goals.
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.
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.
Asset allocation advice
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
NY
09/20/2021 - Present
Citigroup Global Markets Inc. (Mamaroneck NY)
CT
03/03/2021 - 08/09/2021
NYLIFE SECURITIES LLC (STRATFORD CT)
NY
10/11/2011 - 11/12/2015
DEALERWEB INC. (GARDEN CITY NY)
NY
03/11/2004 - 10/10/2011
RAFFERTY CAPITAL MARKETS, LLC (NEW YORK NY)
NY
05/20/1986 - 08/16/2004
J.J. KENNY DRAKE, INC. (NEW YORK NY)
IA
Issued 09/17/2021
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/16/2021
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/02/2021
Series 7TO - General Securities Representative Examination
BC
Issued 12/09/2020
SIE - Securities Industry Essentials Examination
BC
Issued 04/03/2007
Series 7 - General Securities Representative Examination
BC
Issued 09/27/1983
Series 52 - Municipal 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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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