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Richard Thomas Klingman

Natwest Markets Securities Inc.

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About Richard Thomas Klingman

Richard Klingman is a securities professional with over 30 years of experience in the industry. Richard is currently registered with Natwest Markets Securities Inc. Richard has a broad range of experience in the securities industry, having worked for several major financial institutions. Richard holds a variety of licenses and certifications, including Series 7, Series 24, Series 3, Series 55, Series 57, and Series 63. Richard is licensed in all 50 states.

Firm Information

Richard Klingman is currently registered with Natwest Markets Securities Inc.. Natwest Markets Securities Inc. is a corporation formed on November 7, 1985, and is currently approved. It is registered with the SEC and in all 50 states.

Not reported

Assets Under Management

Not reported

Total Clients

113

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Richard Klingman’s Registration & Firm History

CT

03/01/2024 - Present

Natwest Markets Securities Inc. (STAMFORD CT)

NY

07/01/2013 - 03/07/2024

SG AMERICAS SECURITIES, LLC (NEW YORK NY)

NY

05/14/2007 - 05/29/2013

BNP PARIBAS SECURITIES CORP. (NEW YORK NY)

NY

09/03/1997 - 05/04/2007

ABN AMRO INCORPORATED (NEW YORK NY)

NY

06/24/1992 - 09/04/1997

YAMAICHI INTERNATIONAL (AMERICA) INC. (NEW YORK NY)

NY

07/31/1990 - 07/02/1992

UBS SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 11/14/1992

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/26/2020

Series 24 - General Securities Principal Examination

BC

Issued 01/02/2023

Series 57TO - Securities Trader Exam

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 05/25/2016

Series 3 - National Commodity Futures Examination

BC

Issued 03/25/2013

Series 55 - Limited Representative-Equity Trader Exam

BC

Issued 04/15/1989

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for Richard Thomas Klingman.
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