Unclaimed
Richard Tobie Safran is a financial advisor with Seaport Global Securities LLC based in Costa Mesa, CA. Richard Safran has been in the financial industry since December 30, 2003. Richard Safran is registered with the state of Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Puerto Rico, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virginia, Washington, West Virginia, Wisconsin, and Wyoming. Richard Safran has passed the SIE, Series 7, Series 63, Series 86, and Series 87 exams. Richard Safran was previously employed by The Buckingham Research Group Incorporated and Goldman, Sachs & Co..
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.
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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2
CA
04/13/2020 - Present
Seaport Global Securities LLC (Costa Mesa CA)
NY
05/27/2009 - 03/30/2020
THE BUCKINGHAM RESEARCH GROUP INCORPORATED (NEW YORK NY)
NY
12/17/2003 - 06/04/2009
GOLDMAN, SACHS & CO. (NEW YORK NY)
BC
Issued 01/20/2004
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/22/2005
Series 86 - Research Analyst Exam - Part I Analysis Module
BC
Issued 03/08/2005
Series 87 - Research Analyst Exam - Part II Regulations Module
BC
Issued 12/16/2003
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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