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 Vergona is a financial advisor with over 24 years of experience in the financial services industry. Richard is currently registered with Raymond James Financial Services Advisors, Inc. and has previously been registered with Morgan Stanley and Citigroup Global Markets Inc. Richard has earned several industry credentials, including the Series 6, 7, 63, and 65 licenses, and the SIE exam. Richard is also a registered Investment Advisor representative in New Jersey and Texas. Richard provides a wide range of financial services to individuals, families, and businesses, including financial planning, portfolio management, and retirement planning. Richard is committed to providing his clients with personalized financial advice and guidance.
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.
Hourly & fixed rate consultations
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.
Per participant (erisa)
1
2
NJ
11/14/2019 - Present
Raymond James Financial Services Advisors, Inc. (SHREWSBURY NJ)
NJ
06/01/2009 - 11/15/2019
MORGAN STANLEY (SHREWSBURY NJ)
NJ
05/26/2000 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SHREWSBURY NJ)
NA
07/30/1984 - 04/05/1988
AMEV INVESTORS, INC.
IA
Issued 06/29/2000
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/16/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/25/2000
Series 7 - General Securities Representative Examination
BC
Issued 07/28/1984
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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