Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Peloquin is a financial advisor with over 40 years of experience in the industry. Richard currently works at Oppenheimer & Co. Inc. Prior to this role, Richard worked for CIBC WORLD MARKETS CORP. and BACHE HALSEY STUART SHIELDS INCORPORATED. Richard holds a Series 7, 8, 24, 63 and 65 securities licenses. Richard has been registered with the state of Texas for securities and investment advisory services since 2013.
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
01/04/2018 - Present
Oppenheimer & Co. Inc. (CHICAGO IL)
NY
01/23/2002 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
08/20/1979 - 01/16/2002
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NA
04/03/1988 - 04/18/1995
OPPENHEIMER & CO., INC.
NA
06/01/1978 - 09/17/1979
BACHE HALSEY STUART SHIELDS INCORPORATED
IA
Issued 09/20/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/31/1979
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/22/1996
Series 24 - General Securities Principal Examination
BC
Issued 02/22/1985
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/20/1978
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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