Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Joyce has been in the financial services industry since 1992. Richard is currently registered with TD Securities (usa) LLC and is located in the New York office. Richard has experience at a number of well-respected financial institutions including Deutsche Bank Securities Inc., RBS Securities Inc., BTIG, LLC, UBS Securities LLC and Goldman, Sachs & Co.. Richard holds the following licenses: Series 3, 7, 9, 10, 24 and 63.
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.
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2
NY
09/16/2019 - Present
TD Securities (usa) LLC (NEW YORK NY)
NY
08/10/2016 - 05/01/2019
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
CT
06/03/2010 - 08/09/2016
RBS SECURITIES INC. (STAMFORD CT)
NY
04/06/2009 - 05/03/2010
BTIG, LLC (NEW YORK NY)
CT
03/30/2004 - 04/01/2009
UBS SECURITIES LLC (STAMFORD CT)
NY
09/12/1991 - 04/16/2004
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 11/27/1991
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/10/2015
Series 24 - General Securities Principal Examination
BC
Issued 11/20/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 11/13/2001
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/02/1991
Series 3 - National Commodity Futures Examination
BC
Issued 09/10/1991
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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