Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Scarpelli is an active investment advisor representative with over 20 years of experience in the financial services industry. Richard is registered with J.p. Morgan Securities LLC and J.p. Morgan Private Wealth Advisors LLC. Previously, Richard worked at First Republic Securities Company, LLC and UBS Financial Services Inc., both in New York, NY, and Hold Brothers On-Line Investment Services Inc., also in New York, NY. Richard specializes in providing financial planning, pension consulting, and portfolio management services for individuals, businesses and institutional clients. Richard Scarpelli holds the Series 7, Series 24, Series 55, and Series 63 securities licenses, and the Series 65 investment advisory license. He is also a Chartered Financial Consultant. Richard is currently registered in 51 states and the District of Columbia as an investment advisor representative.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
09/06/2023 - Present
J.p. Morgan Securities LLC (NEW YORK NY)
NY
11/20/2017 - 09/29/2023
FIRST REPUBLIC SECURITIES COMPANY, LLC (NEW YORK NY)
NJ
03/14/2002 - 11/27/2017
UBS FINANCIAL SERVICES INC. (WEEHAWKEN NJ)
NY
06/19/2000 - 03/11/2002
HOLD BROTHERS ON-LINE INVESTMENT SERVICES INC. (NEW YORK NY)
NJ
06/15/1999 - 07/10/2000
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
BC
Issued 09/30/1999
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 02/20/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/21/2009
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 07/14/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 06/14/1999
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 Emerald, LLC
M
MIAX PEARL, LLC
M
Miami International Securities Exchange, 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 MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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