Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Lee Stein is a financial advisor with over 30 years of experience in the financial services industry. Richard Stein is currently registered with RBC Capital Markets, LLC. Richard Stein previously worked with UBS Financial Services Inc, Morgan Stanley Smith Barney, Citigroup Global Markets Inc, Oppenheimer & Co. Inc., Deutsche Bank Securities Inc, DB Alex. Brown LLC, and The Advisors Group, Inc. Richard Stein holds the Series 4, Series 7, Series 24, Series 52TO, Series 53, and Series 63 licenses. Richard Stein provides financial planning, portfolio management, and pension consulting services to a wide range of clients, including individuals, families, businesses, and institutions.
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.
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2
VA
06/12/2020 - Present
RBC Capital Markets, LLC (Vienna VA)
DC
01/13/2012 - 06/02/2020
UBS FINANCIAL SERVICES INC. (WASHINGTON DC)
DC
06/01/2009 - 01/19/2012
MORGAN STANLEY SMITH BARNEY (WASHINGTON DC)
DC
02/23/2007 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WASHINGTON DC)
DC
06/19/2003 - 03/05/2007
OPPENHEIMER & CO. INC. (WASHINGTON DC)
NY
01/13/2001 - 02/14/2003
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
08/13/1998 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
MD
05/23/1989 - 06/05/1998
THE ADVISORS GROUP, INC. (BETHESDA MD)
IA
Issued 02/17/2006
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/23/1990
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 05/20/1996
Series 4 - Registered Options Principal Examination
BC
Issued 03/15/1996
Series 53 - Municipal Securities Principal Examination
BC
Issued 10/08/1993
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1989
Series 7 - General Securities 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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