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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 Esposito is a financial advisor registered in 54 states and has 21 years of experience in the industry. Richard has been with Morgan Stanley since June 2009. Previously Richard was with CITIGROUP GLOBAL MARKETS INC. from December 2004 to June 2009. Richard has held licenses with a total of 4 firms. Richard has passed a total of 6 industry exams including Series 3, Series 7, Series 63, Series 66 and the Securities Industry Essentials Exam. Richard is a specialist in equities, fixed income, mutual funds, variable annuities, investment advisory services, insurance and financial planning.
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.
Strategic management for diversified investment portfolios.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IL
04/18/2012 - Present
Morgan Stanley (Chicago IL)
IL
12/07/2004 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (CHICAGO IL)
IN
11/29/2001 - 11/22/2004
LINCOLN FINANCIAL ADVISORS CORPORATION (FORT WAYNE IN)
IN
11/29/2001 - 11/22/2004
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY (FORT WAYNE IN)
NE
12/09/1999 - 08/15/2001
TD WATERHOUSE INVESTOR SERVICES, INC. (OMAHA NE)
BOTH
Issued 05/25/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/06/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/02/2012
Series 3 - National Commodity Futures Examination
BC
Issued 12/08/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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