Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Gallivan is a financial advisor with Mizuho Securities USA LLC. Richard has been working in the financial services industry since 1997. Richard's previous experience includes working at Barclays Capital Inc., Lehman Brothers Inc., Citigroup Global Markets Inc., and Salomon Brothers Inc. Richard holds FINRA Series 7, 24, 63, 79TO, and SIE licenses. Richard is registered to provide securities-related services in all 50 states, the District of Columbia, and Puerto Rico.
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
CA
03/31/2016 - Present
Mizuho Securities USA LLC (SAN FRANCISCO CA)
CA
09/22/2008 - 11/27/2015
BARCLAYS CAPITAL INC. (MENLO PARK CA)
CA
09/22/2006 - 09/22/2008
LEHMAN BROTHERS INC. (MENLO PARK CA)
CA
11/28/1997 - 09/26/2006
CITIGROUP GLOBAL MARKETS INC. (PALO ALTO CA)
NY
03/24/1997 - 09/01/1998
SALOMON BROTHERS INC. (NEW YORK NY)
BC
Issued 08/22/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/21/2002
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/21/1997
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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