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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard R Briggs is a financial advisor with over 20 years of experience in the industry. Richard has a wide range of experience, having worked with firms such as Chapin, Davis, VCAP Securities, LLC, Founders Financial Securities LLC, Intersecurities, Inc., Deutsche Bank Securities Inc., DB ALEX. BROWN LLC, First Union Capital Markets Corp. and MML Investors Services, Inc. Richard is currently employed by Morgan Stanley and is registered with FINRA. Richard has earned several licenses including Series 6, 7, 9, 10, 14, 23, 24, 63 and SIE. Richard is a highly qualified and experienced advisor who can help you achieve your 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.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
See schedule d miscellaneous
1
2
NY
09/08/2023 - Present
Morgan Stanley (PURCHASE NY)
MD
10/25/2017 - 06/01/2022
CHAPIN, DAVIS (BALTIMORE MD)
NY
04/21/2012 - 01/17/2015
VCAP SECURITIES, LLC (NEW YORK NY)
MI
04/06/2006 - 04/23/2012
FOUNDERS FINANCIAL SECURITIES LLC (BRIGHTON MI)
FL
10/14/2005 - 12/07/2005
INTERSECURITIES, INC. (ST. PETERSBURG FL)
NY
01/13/2001 - 09/09/2005
DEUTSCHE BANK SECURITIES INC. (NEW YORK NY)
MD
03/16/2000 - 01/13/2001
DB ALEX. BROWN LLC (BALTIMORE MD)
NC
10/22/1996 - 03/11/1999
FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)
MA
08/29/1995 - 07/11/1996
MML INVESTORS SERVICES, INC. (SPRINGFIELD MA)
BC
Issued 05/11/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 14 - Compliance Officer Examination
BC
Issued 02/20/2018
Series 24 - General Securities Principal Examination
BC
Issued 02/13/2006
Series 23 - General Securities Principal Sales Supervisor
BC
Issued 05/02/2003
Series 4 - Registered Options Principal Examination
BC
Issued 04/10/2001
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/15/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/28/2000
Series 7 - General Securities Representative Examination
BC
Issued 08/28/1995
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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