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Richard Joseph Brophy

Meridian Equity Partners, Inc.

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About Richard Joseph Brophy

Richard Brophy is a securities professional with over 20 years of experience in the financial services industry. He is currently registered with Meridian Equity Partners, Inc. in New York, New York. Richard Brophy has held previous roles with MND PARTNERS, INC., KABRIK TRADING LLC, CAPITAL INSTITUTIONAL SERVICES, INC., and SANFORD C. BERNSTEIN & CO., LLC. Richard Brophy holds several licenses and registrations, including Series 7, Series 25, Series 55, SIE and Series 57TO.

Firm Information

Richard Brophy is currently registered with Meridian Equity Partners, Inc.. Meridian Equity Partners, Inc. is a Corporation formed on November 26, 2004. The firm has been approved to operate in 9 states and has 1 approved SEC registration.

Not reported

Assets Under Management

Not reported

Total Clients

20

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Richard Brophy’s Registration & Firm History

NY

03/28/2011 - Present

Meridian Equity Partners, Inc. (NEW YORK NY)

NY

04/15/2010 - 03/28/2011

MND PARTNERS, INC. (NEW YORK NY)

NY

01/04/2010 - 04/07/2010

KABRIK TRADING LLC (NEW YORK NY)

TX

04/10/2001 - 01/05/2010

CAPITAL INSTITUTIONAL SERVICES, INC. (DALLAS TX)

NY

12/07/2000 - 04/16/2001

SANFORD C. BERNSTEIN & CO., LLC (NEW YORK NY)

NY

09/11/2000 - 12/07/2000

SANFORD C. BERNSTEIN & CO., INC. (NEW YORK NY)

NY

02/13/1998 - 05/30/2000

RICHARD A. ROSENBLATT & COMPANY, INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/12/2001

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 09/05/2007

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 03/13/2000

Series 25 - NYSE Trading Assistant Examination

BC

Issued 02/02/1998

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

N

NYSE American LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There is public disclosure for Richard Joseph Brophy. Review regulatory record here.
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