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Richard Nathan Galster

Vision Financial Markets LLC

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About Richard Nathan Galster

Richard Galster is a financial advisor with over 29 years of experience in the financial services industry. Richard currently works at Vision Financial Markets LLC. Previously, Richard was with Vision Brokerage Services, LLC, Invest Financial Corporation, Investment Centers of America, Inc. and LaSalle St Securities, L.L.C. Richard holds the following licenses: Series 3, Series 7, Series 63 and Series 66. Richard is registered in Arizona and North Dakota.

Firm Information

Richard Galster is currently registered with Vision Financial Markets LLC. Vision Financial Markets LLC is a Limited Liability Company that was formed on May 15, 2006. The firm is registered with the SEC and in all 50 states, as well as Puerto Rico and the Virgin Islands. Vision Financial Markets LLC has been the subject of 30 Regulatory Events.

Not reported

Assets Under Management

Not reported

Total Clients

38

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 Galster’s Registration & Firm History

CT

12/09/2021 - Present

Vision Financial Markets LLC (Stamford CT)

ND

07/21/2008 - 12/31/2021

VISION BROKERAGE SERVICES, LLC (MINOT ND)

ND

10/30/1998 - 07/21/2008

INVEST FINANCIAL CORPORATION (MINOT ND)

WI

05/13/1998 - 10/30/1998

INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)

IL

02/20/1997 - 12/31/1997

LASALLE ST SECURITIES, L.L.C. (ELMHURST IL)

WI

04/10/1992 - 11/15/1995

INVESTMENT CENTERS OF AMERICA, INC. (APPLETON WI)

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Licenses & Designations

BOTH

Issued 05/15/2001

Series 66 - Uniform Combined State Law Examination

BC

Issued 04/10/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/01/1995

Series 3 - National Commodity Futures Examination

BC

Issued 04/09/1992

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 EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE National, 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 Nathan Galster.
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