Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Derose is a financial professional registered with Empirical Research Partners LLC. Richard's professional experience spans over a decade and includes previous roles at NOMURA SECURITIES INTERNATIONAL, INC. Richard holds the Series 63, Series 7, and SIE licenses and is a Chartered Financial Analyst. He has been in the industry since January 30, 2011, and is registered in New York. Richard's practice focuses on providing investment advice to a variety of clients, including individuals, businesses, and institutions. He offers a wide range of services including investment management, financial planning, and portfolio management.
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.
See schedule d - miscellaneous for explanation.
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.
See schedule d - miscellaneous for explanation.
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2
NY
08/23/2023 - Present
Empirical Research Partners LLC (NEW YORK NY)
NY
12/08/2010 - 10/26/2012
NOMURA SECURITIES INTERNATIONAL, INC. (NEW YORK NY)
BC
Issued 11/29/2010
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/07/2010
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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