Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard James Carter has been in the financial industry since January 19, 2005. Richard currently holds a Series 7, Series 24 and a SIE license. Richard is registered with Fidelity Brokerage Services LLC and is licensed in 8 states. Richard previously worked at HSBC Securities, Inc..
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
RI
07/27/2005 - Present
Fidelity Brokerage Services LLC (SMITHFIELD RI)
NY
01/31/1997 - 06/03/1997
HSBC SECURITIES, INC. (NEW YORK CITY NY)
NY
01/01/1996 - 03/04/1996
HSBC SECURITIES, INC. (NEW YORK CITY NY)
BC
Issued 08/16/2007
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/26/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
New York Stock Exchange
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