Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Ro is a financial professional with over 10 years of experience in the industry. Richard has a strong background in operations, having previously held positions at Santander Investment Securities Inc. Currently, Richard is registered with Santander US Capital Markets LLC and holds the Series 27, SIE, and Series 99TO licenses.
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.
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.
1
2
NY
02/06/2023 - Present
Santander US Capital Markets LLC (NEW YORK NY)
NY
07/20/2021 - 02/06/2023
SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)
NY
09/16/2010 - 02/26/2015
SANTANDER INVESTMENT SECURITIES INC. (NEW YORK NY)
BC
Issued 07/20/2021
Series 27 - Financial and Operations Principal Examination
BC
Issued 01/02/2023
SIE - Securities Industry Essentials Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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