Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Orin Knowlton is a financial advisor registered with SG Americas Securities, LLC. Richard has been in the securities industry since January 30, 2001. Richard has a broad range of experience in the financial services industry, including roles at SG Cowen Securities Corporation and Great Western Financial Securities Corporation. Richard holds a variety of licenses and registrations, including Series 7, Series 24, Series 52, Series 63, and Series 79TO. Richard is registered in all 50 states and the District of Columbia.
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.
1
2
NY
04/26/2004 - Present
SG Americas Securities, LLC (NEW YORK NY)
NY
10/09/2002 - 04/26/2004
SG COWEN SECURITIES CORPORATION (NEW YORK NY)
NA
12/22/1987 - 08/28/1989
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
BC
Issued 01/16/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/30/2008
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/08/2002
Series 7 - General Securities Representative Examination
BC
Issued 09/21/1994
Series 52 - Municipal Securities Representative Examination
Active
Inactive
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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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