Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Mandery is a financial advisor currently affiliated with Raymond James & Associates, Inc., a firm with over $433 billion in regulatory assets under management. Richard has been in the industry since 2003, and has experience at firms such as Oppenheimer & Co. Inc., CRT Capital Group LLC, Sterne, Agee & Leach, Inc. and Barclays Capital Inc.. Richard holds several licenses including Series 7, 10, 24, 63, and 79TO. Richard specializes in portfolio management for both businesses and individuals.
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.
Please see note in schedule d - miscellaneous
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.
1
2
NY
09/23/2019 - Present
Raymond James & Associates, Inc. (NEW YORK NY)
NY
04/04/2017 - 09/20/2019
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
06/23/2015 - 06/30/2016
CRT CAPITAL GROUP LLC (New York NY)
NY
02/24/2010 - 06/18/2015
STERNE, AGEE & LEACH, INC. (NEW YORK NY)
NY
11/27/2007 - 03/05/2009
HOULIHAN LOKEY HOWARD & ZUKIN CAPITAL, INC. (NEW YORK NY)
NY
06/05/2006 - 11/28/2007
BARCLAYS CAPITAL INC. (NEW YORK NY)
NY
03/09/2005 - 07/18/2006
BANC OF AMERICA SECURITIES LLC (NEW YORK NY)
NY
06/02/1999 - 12/17/2002
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
BC
Issued 02/18/2005
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 10/04/2017
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 03/08/2005
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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