Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Garfield is an active investment advisor representative with J.p. Morgan Securities LLC, based in Las Vegas, NV. Richard has been in the industry since 2002 and holds Series 6, 7, 24, 63, and 66 licenses. Richard has a long history of working with clients, and has experience with a wide range of financial products and services. Richard currently provides financial planning, pension consulting, selection of other advisors, and portfolio management for businesses and individuals. Prior to joining J.p. Morgan Securities LLC, Richard was with CHASE INVESTMENT SERVICES CORP. and ING FINANCIAL PARTNERS, INC.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NV
10/01/2012 - Present
J.p. Morgan Securities LLC (LAS VEGAS NV)
NV
10/28/2005 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (LAS VEGAS NV)
CT
07/29/2002 - 11/25/2005
ING FINANCIAL PARTNERS, INC. (WINDSOR CT)
BOTH
Issued 07/19/2004
Series 66 - Uniform Combined State Law Examination
BC
Issued 08/01/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/05/2003
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/2003
Series 7 - General Securities Representative Examination
BC
Issued 07/26/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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