Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Lawrence Farber is a financial advisor with SMBc Nikko Securities America, Inc. based in New York, NY. Richard has been in the financial industry since 2010. Richard holds the Series 24 and SIE licenses. Previously, Richard worked at BMO Capital Markets Corp. and KGS-ALPHA Capital Markets, L.P.
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.
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2
NY
05/17/2021 - Present
Smbc Nikko Securities America, Inc. (NEW YORK NY)
NY
09/01/2018 - 05/18/2021
BMO CAPITAL MARKETS CORP. (New York NY)
NY
10/14/2010 - 09/01/2018
KGS-ALPHA CAPITAL MARKETS, L.P. (NEW YORK NY)
BC
Issued 08/23/2011
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
F
FINRA
N
NYSE Arca, Inc.
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