Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Wernli is a financial professional with over 20 years of experience in the industry. Richard is currently registered with Mufg Securities Americas Inc. in New York, NY. Richard has previously worked for BTMU SECURITIES, INC. and BNP PARIBAS SECURITIES CORP., holding a variety of positions. Richard holds a Series 7, Series 63, Series 79TO and SIE licenses.
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.
1
2
NY
04/01/2017 - Present
Mufg Securities Americas Inc. (NEW YORK NY)
NY
07/01/2013 - 04/01/2017
BTMU SECURITIES, INC. (New York NY)
NY
06/03/2005 - 06/06/2013
BNP PARIBAS SECURITIES CORP. (NEW YORK NY)
NA
04/23/1992 - 05/18/1993
PAINEWEBBER INCORPORATED
BC
Issued 10/18/2013
Series 63 - Uniform Securities Agent State Law 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 06/02/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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