Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Morrow is an active investment advisor representative with RBC Capital Markets, LLC. Richard has been in the financial services industry since December 2004. Richard has a broad range of experience, including working with high-net-worth individuals, corporations, and institutions. Richard has Series 7, 9, 10, 31 and 66 licenses, and is registered in many states. Richard is currently registered with RBC Capital Markets, LLC in Connecticut and Texas. Richard is a member of the Dramatist Guild and is also involved with several other businesses, including Westport Playhouse. Prior to joining RBC Capital Markets, LLC, Richard was employed by Morgan Stanley and Merrill Lynch. Richard is committed to providing clients with personalized financial advice and guidance to help them reach their financial goals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CT
02/17/2022 - Present
RBC Capital Markets, LLC (Westport CT)
CT
10/01/2009 - 02/18/2022
MORGAN STANLEY (WESTPORT CT)
CT
12/09/2004 - 10/02/2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (FAIRFIELD CT)
BOTH
Issued 01/07/2005
Series 66 - Uniform Combined State Law Examination
BC
Issued 11/07/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 07/18/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 12/08/2004
Series 7 - General 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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