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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Stephen Briggs is a financial advisor with over 40 years of experience in the industry. He is registered with RBC Capital Markets, LLC and has been with the firm since September 2019. Richard has a broad range of experience, having worked previously with Merrill Lynch, Pierce, Fenner & Smith Incorporated and Bank of America. Richard is a registered representative in several states, including New York and Texas. He has passed several industry exams, including the Series 7, Series 31, and Series 63 exams. Richard specializes in providing financial planning, portfolio management, and investment advisory services to a wide range of clients, including individuals, businesses, and institutions. He is committed to helping clients achieve their financial goals.
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.
Seminars designed to boost your financial literacy and investment knowledge.
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.
Service public & private employee benefit plans, endowment funds, foundations, family trusts & various capital/operating funds
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
09/04/2019 - Present
RBC Capital Markets, LLC (WILLIAMSVILLE NY)
NY
03/25/1983 - 09/05/2019
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (BUFFALO NY)
IA
Issued 10/22/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/13/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/28/2005
Series 31 - Futures Managed Funds Examination
BC
Issued 04/20/1983
Series 5 - Interest Rate Options Examination
BC
Issued 03/19/1983
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 PEARL, 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 PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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