Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Cea is an investment advisor representative with Citigroup Global Markets Inc., based in New York, NY. Richard Cea has been in the industry since September 29, 2006. Richard Cea holds several securities licenses including Series 3, 7, 55, 57TO, 63 and 66. Richard Cea has been registered with Citigroup Global Markets Inc. since February 15, 2023. Previously, Richard Cea was registered with UBS Securities LLC and Citigroup Global Markets Inc. Richard Cea has a total of 23 approved SRO registrations, 1 approved FINRA registration, 53 approved state registrations, and 1 approved IA state registration. Richard Cea's specializations include Investment Advisory Representatives, Stock Brokers, Financial Planners, Institutional Investors, Investment Banking, Private Banking, and Financial Advisors.
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.
Asset allocation advice
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
NY
02/15/2023 - Present
Citigroup Global Markets Inc. (NEW YORK NY)
NY
06/11/2014 - 04/17/2019
UBS SECURITIES LLC (NEW YORK NY)
NY
08/29/2006 - 06/12/2014
CITIGROUP GLOBAL MARKETS INC. (NEW YORK NY)
BOTH
Issued 02/14/2023
Series 66 - Uniform Combined State Law Examination
BC
Issued 09/08/2006
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 57TO - Securities Trader Exam
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/21/2006
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 10/14/2006
Series 3 - National Commodity Futures Examination
BC
Issued 08/28/2006
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
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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