Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Laurence Siderowf is a financial advisor with over 50 years of experience in the financial industry. Richard Laurence Siderowf is currently registered with RBC Capital Markets, LLC and has been with the firm since March 2008. Prior to that, Richard Laurence Siderowf was a registered representative with Wachovia Securities, LLC, Prudential Securities Incorporated, Lehman Brothers Inc., Blyth Eastman Dillon & Co. Incorporated and Eastman Dillon, Union Securities & Co., Incorporated. Richard Laurence Siderowf specializes in portfolio management for individuals, businesses and pooled investment vehicles.
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
10/18/2004 - Present
RBC Capital Markets, LLC (Westport CT)
MO
07/01/2003 - 10/07/2004
WACHOVIA SECURITIES, LLC (ST. LOUIS MO)
NY
11/26/1991 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
10/29/1979 - 12/10/1991
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/14/1972 - 11/26/1979
BLYTH EASTMAN DILLON & CO. INCORPORATED
NA
04/29/1971 - 11/14/1972
EASTMAN DILLON, UNION SECURITIES & CO., INCORPORATED
BC
Issued 02/12/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/24/1973
Series 40 - Registered Principal Examination
BC
Issued 01/02/2023
Series 7TO - General Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/13/1985
Series 15 - Foreign Currency Options Examination
BC
Issued 09/15/1977
PC - AMEX Put and Call Exam
BC
Issued 11/17/1961
Series 1 - Registered Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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