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Richard Michael Costa

RBC Capital Markets, LLC

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About Richard Michael Costa

Richard Costa has been in the financial services industry since October 1999. Richard is a Certified Financial Planner and has been registered with RBC Capital Markets, LLC. since September 2019. Before joining RBC Capital Markets, LLC., Richard was with UBS Financial Services Inc. from June 2009 to September 2019. Richard has experience in providing financial planning, portfolio management, and other investment advisory services to individuals, families, businesses, and institutions.

Firm Information

Richard Costa is currently registered with RBC Capital Markets, LLC. RBC Capital Markets, LLC is a Limited Liability Company formed in 2010 and headquartered in New York, NY. The firm is a Registered Investment Advisor with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands. RBC Capital Markets, LLC offers a wide range of advisory services, including financial planning, pension consulting, educational seminars, selection of other advisors, portfolio management for businesses and individuals, and portfolio management for pooled investment vehicles. The firm serves a diverse client base, including high-net-worth individuals, corporations, charitable organizations, pension and profit-sharing plans, and pooled investment vehicles. RBC Capital Markets, LLC manages more than $50 billion in assets.
RBC Capital Markets, LLC

200 VESEY ST.

NEW YORK, NY 10281

$259.96B

Assets Under Management

1,784

Total Clients

4,423

Total Financial Advisors

Services Offered

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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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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pension consulting services

Guidance on pension options to ensure a secure financial future.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

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service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds

Fee Structure

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Richard Costa’s Registration & Firm History

PA

09/13/2019 - Present

RBC Capital Markets, LLC (PITTSBURGH PA)

PA

06/19/2009 - 09/24/2019

UBS FINANCIAL SERVICES INC. (PITTSBURGH PA)

PA

06/01/2009 - 06/26/2009

MORGAN STANLEY SMITH BARNEY (PITTSBURGH PA)

PA

08/18/2006 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (PITTSBURGH PA)

PA

07/15/2003 - 08/21/2006

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (PITTSBURGH PA)

MO

10/11/1999 - 07/23/2003

A. G. EDWARDS & SONS, INC. (ST. LOUIS MO)

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Licenses & Designations

IA

Issued 10/06/2003

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 10/15/1999

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 03/16/2005

Series 31 - Futures Managed Funds Examination

BC

Issued 10/08/1999

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

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

Disclosures

There are no public disclosures for Richard Michael Costa.
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