Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Anthony is an experienced financial professional with over 30 years of experience in the industry. Richard has worked with several leading firms, including Oppenheimer & Co. Inc., Imperial Capital, LLC, BGC Financial, L.P., PALI CAPITAL, INC., LEK SECURITIES CORPORATION, ALEX. BROWN & SONS INCORPORATED, and SHEARSON LEHMAN HUTTON INC. Richard is currently registered with Oppenheimer & Co. Inc., and holds a variety of licenses and certifications, including Series 3, 4, 7, 24, 63, and 65. Richard specializes in providing financial planning, portfolio management, and investment advisory services to individuals, families, and businesses.
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
NY
05/14/2024 - Present
Oppenheimer & Co. Inc. (NEW YORK NY)
NY
12/13/2019 - 08/12/2022
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
09/10/2019 - 12/18/2019
IMPERIAL CAPITAL, LLC (NEW YORK NY)
NY
12/10/2009 - 09/17/2019
BGC FINANCIAL, L.P. (NEW YORK NY)
NY
09/05/2002 - 01/08/2010
PALI CAPITAL, INC. (NEW YORK NY)
NY
01/16/1996 - 09/03/2002
LEK SECURITIES CORPORATION (NEW CITY NY)
NA
04/23/1991 - 09/21/1995
ALEX. BROWN & SONS INCORPORATED
NY
01/02/1990 - 05/14/1991
OPPENHEIMER & CO., INC. (NEW YORK NY)
NY
03/22/1988 - 01/19/1990
SHEARSON LEHMAN HUTTON INC. (NEW YORK NY)
IA
Issued 10/27/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/30/1988
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/23/2010
Series 24 - General Securities Principal Examination
BC
Issued 11/10/2004
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/28/2009
Series 3 - National Commodity Futures Examination
BC
Issued 03/19/1988
Series 7 - General Securities Representative 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
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