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 Szelc is a registered investment advisor representative with Neuberger Berman BD LLC. Richard has been in the financial services industry since 1997. Richard is registered in several states including Texas, Illinois, and New York. Richard previously worked at Sanford C. Bernstein & Co., Inc. Richard has passed the Series 2, 7, 31, 63 and 66 securities exams.
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.
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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.
A percentage of the total value of assets under management is charged.
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2
TX
04/28/2004 - Present
Neuberger Berman BD LLC (DALLAS TX)
NY
10/17/1997 - 07/07/2000
SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)
BOTH
Issued 11/11/1997
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/23/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/28/1997
Series 31 - Futures Managed Funds Examination
BC
Issued 10/16/1997
Series 7 - General Securities Representative Examination
BC
Issued 12/09/1994
Series 2 - Non-Member General Securities Examination
Active
Inactive
F
FINRA
N
Nasdaq ISE, LLC
N
Nasdaq Stock Market
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