Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Henry Carrier is an investment advisor representative who is registered with Rockefeller Financial LLC in New Jersey and New York. Richard has been working in the industry since 1991 and is licensed to provide investment advisory services. Richard has a long history of experience working in financial services, including previous roles at Axiom Capital Management, Inc., Summit Equities, Inc. and Financial Network Investment Corporation. Richard has a wide range of experience in the investment advisory space, including portfolio management for businesses and individuals, financial planning, and pension consulting.
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.
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.
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2
NY
03/03/2020 - Present
Rockefeller Financial LLC (NEW YORK NY)
NY
03/19/2019 - 02/26/2020
AXIOM CAPITAL MANAGEMENT, INC. (NEW YORK NY)
NJ
06/27/1997 - 10/29/2018
SUMMIT EQUITIES, INC. (PARSIPPANY NJ)
CA
07/22/1996 - 07/09/1997
FINANCIAL NETWORK INVESTMENT CORPORATION (EL SEGUNDO CA)
CA
03/26/1993 - 08/15/1996
QUEST CAPITAL STRATEGIES, INC. (LAGUNA HILLS CA)
MI
10/06/1992 - 02/09/1993
OLDE DISCOUNT CORPORATION (DETROIT MI)
NJ
02/08/1991 - 05/06/1992
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 02/19/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/02/2024
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/02/2024
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 06/08/2020
Series 4 - Registered Options Principal Examination
BC
Issued 03/06/2015
Series 53 - Municipal Securities Principal Examination
BC
Issued 06/19/1993
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/27/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 02/04/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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