Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Jeffrey De rose is a Financial Advisor at Houlihan Lokey Capital, Inc. Richard has been in the industry for 27 years. Richard is registered with FINRA and is currently registered in New York. He is a Series 7, Series 24, Series 63, SIE and Series 79TO licensed professional. Richard's previous experience includes Bear, Stearns & Co. 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
NY
06/27/2003 - Present
Houlihan Lokey Capital, Inc. (NEW YORK NY)
NY
12/13/1994 - 11/06/2001
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 01/23/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 02/10/1995
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 12/11/1994
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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