Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Nacol is a financial advisor with over 18 years of experience in the industry. Richard is currently registered with Liquidnet, Inc. and TP Icap Global Markets Americas LLC. Prior to his current roles, Richard was registered with several firms including Independent Investment Bankers, CORP., ICAP CORPORATES LLC, CREDIT SUISSE SECURITIES (USA) LLC, HSBC SECURITIES (USA) INC. and Needham & Company, LLC. Richard holds several licenses and certifications including Series 7, Series 24, Series 55, Series 57TO, Series 63 and SIE. Richard is also registered in Texas.
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.
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2
NY
02/20/2024 - Present
Liquidnet, Inc. (NEW YORK NY)
TX
07/08/2021 - 11/10/2021
INDEPENDENT INVESTMENT BANKERS, CORP. (AUSTIN TX)
TX
09/02/2008 - 07/18/2019
ICAP CORPORATES LLC (AUSTIN TX)
NY
05/30/2007 - 08/27/2008
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
NY
05/27/2005 - 04/04/2007
HSBC SECURITIES (USA) INC. (NEW YORK NY)
NY
09/09/2003 - 05/16/2005
NEEDHAM & COMPANY, LLC (NEW YORK NY)
CA
03/26/2001 - 04/25/2002
THOMAS WEISEL PARTNERS LLC (SAN FRANCISCO CA)
NY
05/01/2001 - 06/06/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
02/05/2001 - 05/01/2001
J.P. MORGAN SECURITIES INC. (NEW YORK NY)
NY
02/01/2000 - 02/05/2001
CHASE SECURITIES INC. (NEW YORK NY)
CA
09/03/1999 - 02/01/2000
HAMBRECHT & QUIST LLC (SAN FRANCISCO CA)
BC
Issued 09/21/1999
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/14/2012
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 09/15/1999
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 09/02/1999
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
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