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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Powers is an investment advisor representative at City National Rochdale. Richard has over 17 years of experience in the financial services industry and is registered with the Financial Industry Regulatory Authority (FINRA) and the state of New York. Richard has a strong track record of providing investment advice and portfolio management services to a wide range of clients, including high-net-worth individuals, corporations, and investment companies. Richard is committed to providing his clients with personalized investment advice and portfolio management services that meet their individual needs and 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.
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.
Strategic management for diversified investment portfolios.
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.
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2
NY
11/20/2023 - Present
City National Rochdale (NEW YORK NY)
WA
09/26/2022 - 08/03/2023
MBS SOURCE ETRADING, INC. (MERCER ISLAND WA)
NJ
11/30/2018 - 10/06/2022
E*TRADE SECURITIES LLC (Jersey City NJ)
NJ
09/03/2015 - 11/29/2018
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
02/03/2015 - 08/25/2015
INCAPITAL LLC (New York NY)
NY
01/15/2014 - 09/26/2014
HAPOALIM SECURITIES USA, INC. (NEW YORK NY)
NY
07/16/2008 - 09/16/2013
BNY MELLON CAPITAL MARKETS, LLC (NEW YORK NY)
NY
08/21/2006 - 01/22/2008
BNY INVESTMENT CENTER INC. (NEW YORK NY)
NJ
01/14/2005 - 05/09/2006
TD AMERITRADE, INC. (JERSEY CITY NJ)
NY
10/01/2004 - 01/11/2005
DAVID LERNER ASSOCIATES, INC. (SYOSSET NY)
NY
11/18/2003 - 01/26/2004
JOSEPH STEVENS & COMPANY, INC. (BROOKLYN NY)
BOTH
Issued 09/24/2015
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/26/2003
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 11/11/2005
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/09/2009
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 11/17/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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