Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Siegel is a financial advisor with Harris Williams, a firm based in New York, NY. Richard has been in the financial services industry since February 6, 2017. Prior to joining Harris Williams, Richard worked at SIXPOINT PARTNERS LLC, OPUS FINANCIAL PARTNERS, LLC and Rothschild Inc. Richard has licenses in New York and holds the following FINRA registrations: Series 7, 79, 63, and SIE.
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.
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.
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2
NY
05/05/2023 - Present
Harris Williams (New York NY)
NY
01/16/2019 - 08/04/2023
SIXPOINT PARTNERS LLC (NEW YORK NY)
NY
12/22/2016 - 03/01/2018
OPUS FINANCIAL PARTNERS, LLC (New York NY)
NY
08/25/2009 - 05/25/2010
ROTHSCHILD INC. (NEW YORK NY)
BC
Issued 11/11/2016
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/03/2019
Series 7TO - General Securities Representative Examination
BC
Issued 03/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/22/2016
Series 79 - Investment Banking Registered Representative Examination
BC
Issued 08/24/2009
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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