Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Thomas Carlin is a registered investment advisor representative with RBC Capital Markets, LLC. Richard has been in the securities industry since May 21, 1980. Richard has held past roles at Citigroup Global Markets Inc., Legg Mason Wood Walker, Incorporated and Salomon Smith Barney Inc. Richard Carlin is currently registered with RBC Capital Markets, LLC in Pennsylvania and South Carolina. Richard has a wide array of experience in the investment field and holds several licenses and certifications. Richard has worked in Conshohocken, PA since 2008. Richard is dedicated to providing clients with personalized financial advice.
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
PA
08/06/2016 - Present
RBC Capital Markets, LLC (CONSHOHOCKEN PA)
PA
02/21/2006 - 07/13/2006
CITIGROUP GLOBAL MARKETS INC. (BRYN MAWR PA)
MD
02/14/2003 - 02/21/2006
LEGG MASON WOOD WALKER, INCORPORATED (BALTIMORE MD)
NY
05/22/1980 - 02/21/2003
SALOMON SMITH BARNEY INC. (NEW YORK NY)
IA
Issued 03/18/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/10/1980
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/15/1990
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/24/1990
Series 3 - National Commodity Futures Examination
BC
Issued 10/14/1981
Series 5 - Interest Rate Options Examination
BC
Issued 05/17/1980
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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