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Richard Michael Dunphy

Canaccord Genuity LLC

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About Richard Michael Dunphy

Richard Michael Dunphy is a financial advisor with Canaccord Genuity LLC, a firm that has been active in the industry since 1995. Richard has extensive experience in the financial services industry, with previous roles at Deutsche Bank Securities Inc., Morgan Stanley & Co., Incorporated, and Prudential Securities Incorporated. Richard is registered in California, Massachusetts, New Jersey, and New York and holds several industry certifications, including Series 3, 7, 24, 55, 57TO, and SIE.

Firm Information

Richard Dunphy is currently registered with Canaccord Genuity LLC. Canaccord Genuity LLC is a Limited Liability Company formed in February 2004. The firm is registered in all 50 states, the District of Columbia, and Puerto Rico. Canaccord Genuity LLC is also registered with the Securities and Exchange Commission.

Not reported

Assets Under Management

Not reported

Total Clients

103

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.

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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Richard Dunphy’s Registration & Firm History

NY

03/04/2015 - Present

Canaccord Genuity LLC (NEW YORK NY)

NY

06/30/2005 - 02/09/2015

DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)

NY

04/20/2000 - 06/24/2005

MORGAN STANLEY & CO., INCORPORATED (NEW YORK NY)

NY

12/05/1994 - 11/11/1999

PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)

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Licenses & Designations

BC

Issued 02/15/1995

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 11/07/2003

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/15/2000

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 01/10/1996

Series 3 - National Commodity Futures Examination

BC

Issued 12/03/1994

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

N

NYSE Arca, Inc.

N

Nasdaq ISE, LLC

N

Nasdaq Stock Market

Disclosures

There are no public disclosures for Richard Michael Dunphy.
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