Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Estabrook is a financial professional with over 25 years of experience in the industry. Currently, Richard is a registered representative at Oppenheimer & Co. Inc. Richard has previously held positions at STONE & YOUNGBERG LLC, STIFEL, NICOLAUS & COMPANY, INCORPORATED, LASALLE FINANCIAL SERVICES, INC., PIPER JAFFRAY & CO., ROBERT W. BAIRD & CO. INCORPORATED, SUTRO & CO. INCORPORATED, and CLAYTON BROWN & ASSOCIATES, INC. Richard holds Series 3, 7, and 63 licenses. He is registered to provide investment advice in 52 states. Richard specializes in a range of services including portfolio management, financial planning, pension consulting, and selection of other advisors.
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.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
1
2
IL
08/22/2011 - Present
Oppenheimer & Co. Inc. (CHICAGO IL)
IL
08/04/2009 - 08/12/2011
STONE & YOUNGBERG LLC (CHICAGO IL)
MD
10/31/2008 - 07/27/2009
STIFEL, NICOLAUS & COMPANY, INCORPORATED (BALTIMORE MD)
IL
08/21/2006 - 12/13/2007
LASALLE FINANCIAL SERVICES, INC. (CHICAGO IL)
MN
03/08/2000 - 10/31/2005
PIPER JAFFRAY & CO. (MINNEAPOLIS MN)
WI
07/22/1997 - 03/10/2000
ROBERT W. BAIRD & CO. INCORPORATED (MILWAUKEE WI)
CA
07/06/1995 - 07/11/1997
SUTRO & CO. INCORPORATED (SAN FRANCISCO CA)
NA
11/14/1994 - 04/05/1995
DAIN BOSWORTH INCORPORATED
IL
07/13/1994 - 11/14/1994
CLAYTON BROWN & ASSOCIATES, INC. (CHICAGO IL)
BC
Issued 04/02/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/12/1994
Series 7 - General Securities Representative Examination
BC
Issued 03/24/1987
Series 3 - National Commodity Futures Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Richard Estabrook is the right advisor for you? Invested Better is here to help.
