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 Velloff is a securities professional with over 18 years of experience in the financial services industry. Richard is currently registered with Truist Securities, Inc. and is licensed to conduct business in 52 states and the District of Columbia. Previously, Richard was registered with Merrill Lynch, Pierce, Fenner & Smith Incorporated, Barclays Capital Inc., and Bear, Stearns & Co. Inc. Richard holds the Series 7, Series 24, Series 63, and Series 79TO licenses. Richard's experience includes investment banking.
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
GA
07/02/2012 - Present
Truist Securities, Inc. (ATLANTA GA)
NY
08/17/2011 - 07/31/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
07/01/2008 - 08/01/2011
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
09/15/2004 - 06/19/2008
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 09/15/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 08/28/2015
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 09/14/2004
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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