Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Steinberg is an active investment advisor representative at Hightower Advisors, LLC. He is a registered investment advisor in New York. Richard has been in the industry since November 17, 1986 and previously worked at Merrill Lynch, Pierce, Fenner & Smith Incorporated and Goldman, Sachs & Co.. Richard Steinberg holds Series 3, 7, 63 and 65 licenses, as well as the SIE. Richard has been a registered representative with Hightower Securities, LLC since March 2012. He has over 35 years of experience in the financial services industry.
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.
Treasury management for corporate clients
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.
Retainer or service fees or some combination of 1, 2, 4, 5 & 7
1
2
NY
03/18/2021 - Present
Hightower Advisors, LLC (New York NY)
NY
01/28/2002 - 03/06/2012
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NY
11/18/1986 - 02/04/2002
GOLDMAN, SACHS & CO. (NEW YORK NY)
IA
Issued 02/15/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/15/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/23/1989
Series 3 - National Commodity Futures Examination
BC
Issued 11/15/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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