Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Sweeney is a financial professional with over 20 years of experience in the industry. Currently, Richard is a Registered Representative at RBC Capital Markets, LLC, a leading financial services firm. Prior to joining RBC, Richard held positions at PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC, MORGAN STANLEY, and CITIGROUP GLOBAL MARKETS INC. His focus is on helping clients with financial planning, investment advice, and portfolio management. Richard is licensed to provide investment advice and is registered with the Financial Industry Regulatory Authority (FINRA).
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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.
A percentage of the total value of assets under management is charged.
1
2
CT
12/06/2021 - Present
RBC Capital Markets, LLC (STAMFORD CT)
ND
09/26/2016 - 12/03/2021
PRIVATE PLACEMENT INSURANCE PRODUCTS, LLC (FARGO ND)
NY
06/01/2009 - 10/16/2014
MORGAN STANLEY (PURCHASE NY)
NY
02/14/2003 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 07/27/2017
Series 66 - Uniform Combined State Law Examination
BC
Issued 12/19/2012
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/13/2003
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe C2 Exchange, Inc.
C
Cboe EDGA Exchange, Inc.
C
Cboe EDGX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX PEARL, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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