Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Harrington Kelly is a financial professional with over 12 years of experience in the industry. Richard is currently registered with Newoak Capital Markets LLC and is licensed in New York. Richard has a wide range of experience and holds several licenses and certifications, including Series 7, 24, 66, 79, 87, and SIE. Richard previously worked at Southridge Investment Group LLC in New York.
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.
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.
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2
NY
12/14/2011 - Present
Newoak Capital Markets LLC (NEW YORK NY)
NY
08/19/2010 - 11/01/2010
SOUTHRIDGE INVESTMENT GROUP LLC (NEW YORK NY)
BOTH
Issued 07/20/2012
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/18/2010
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/20/2013
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 12/13/2012
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 08/18/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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