Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Smalley is a financial advisor with over 35 years of experience in the industry. Richard is currently registered with RBC Capital Markets, LLC and is licensed in Connecticut. Richard has a wide range of experience, having previously worked at firms like Citigroup Global Markets Inc., Morgan Stanley DW Inc., and Lebenthal & Co., Inc. Richard is dedicated to providing personalized financial advice to clients, helping them reach their financial goals.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
1
2
CT
11/12/2024 - Present
RBC Capital Markets, LLC (Westport CT)
CT
09/30/2002 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (GREENWICH CT)
NY
10/30/1998 - 10/02/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
11/14/1988 - 11/02/1998
LEBENTHAL & CO., INC. (NEW YORK NY)
NA
03/08/1988 - 10/24/1988
CITICORP FINANCIAL SERVICES,INC.
IA
Issued 10/13/2005
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/19/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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