Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Jasen is an active broker with Oppenheimer & Co. Inc. Richard began his career in the financial services industry on December 5, 2000. Richard has been registered with Oppenheimer & Co. Inc. since September 14, 2023. Prior to that, Richard was registered with Houlihan Lokey Advisors, LLC, Consor Advisors LLC, Soundview Technology Corporation, E*OFFERING and Lehman Brothers Inc. Richard is a Series 24, Series 79TO, SIE and Series 7 licensed professional. Richard is licensed to conduct business in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands.
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.
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.
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.
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2
CA
09/14/2023 - Present
Oppenheimer & Co. Inc. (SAN FRANCISCO CA)
CA
02/12/2004 - 01/03/2022
HOULIHAN LOKEY ADVISORS, LLC (SAN FRANCISCO CA)
CA
01/08/2004 - 02/18/2004
CONSOR ADVISORS LLC (SAUSALITO CA)
CT
10/17/2000 - 01/22/2004
SOUNDVIEW TECHNOLOGY CORPORATION (OLD GREENWICH CT)
CA
11/01/1999 - 11/07/2000
E*OFFERING (SAN FRANCISCO CA)
NY
02/09/1999 - 09/13/1999
LEHMAN BROTHERS INC. (NEW YORK NY)
BC
Issued 02/09/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/27/2012
Series 24 - General Securities Principal Examination
BC
Issued 01/02/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/08/1999
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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