Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Koll is a financial professional with over 30 years of experience in the industry. Richard is currently a registered representative and investment advisor with Osaic Institutions, Inc. Richard's professional experience includes previous roles with CETERA INVESTMENT SERVICES LLC, INVEST FINANCIAL CORPORATION, NAVIAN CAPITAL SECURITIES LLC, ESSEX NATIONAL SECURITIES, LLC, ADP CLEARING & OUTSOURCING SERVICES, INC., IFMG SECURITIES, INC., EQ FINANCIAL CONSULTANTS, INC., and THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES. Richard holds the Series 7, 24, 52, 53, 66, and SIE licenses. Richard is also a registered investment advisor in Connecticut and New York. Richard provides financial planning, portfolio management for individuals, and other advisory services to individuals, high-net-worth individuals, corporations, and charitable organizations.
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.
Personalized portfolio management to meet individual financial objectives.
Solicitation services for other advisers
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.
A percentage of the total value of assets under management is charged.
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2
CT
02/26/2024 - Present
Osaic Institutions, Inc. (MERIDEN CT)
NJ
12/06/2017 - 01/27/2022
CETERA INVESTMENT SERVICES LLC (ISELIN NJ)
NJ
05/16/2017 - 12/06/2017
INVEST FINANCIAL CORPORATION (ISELIN NJ)
OH
09/30/2014 - 03/31/2017
NAVIAN CAPITAL SECURITIES LLC (Cincinnati OH)
WI
08/18/2008 - 06/18/2014
ESSEX NATIONAL SECURITIES, LLC (WAUWATOSA WI)
WI
04/11/2006 - 08/20/2008
INVEST FINANCIAL CORPORATION (APPLETON WI)
TX
01/10/2006 - 04/10/2006
ADP CLEARING & OUTSOURCING SERVICES, INC. (DALLAS TX)
NY
11/12/1998 - 01/04/2006
IFMG SECURITIES, INC. (PURCHASE NY)
NY
03/10/1992 - 04/28/1997
EQ FINANCIAL CONSULTANTS, INC. (NEW YORK NY)
NY
05/24/1990 - 04/28/1997
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
NY
05/24/1990 - 06/14/1991
EQUICO SECURITIES, INC. (NEW YORK NY)
BOTH
Issued 02/26/2024
Series 66 - Uniform Combined State Law Examination
BC
Issued 02/19/2001
Series 53 - Municipal Securities Principal Examination
BC
Issued 04/22/1993
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/19/1990
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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