Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Vazquez is an investment professional with over a decade of experience in the financial services industry. Richard is currently registered with MML Investors Services, LLC in Garden City, NY. Prior to joining MML Investors Services, LLC, Richard was registered with HORNOR, TOWNSEND & KENT, LLC, EQUITY SERVICES, INC., and Northwestern Mutual Investment Services, LLC. Richard holds FINRA Series 6, 63 and SIE licenses as well as the Series 65 license from the state of New York. Richard has a strong background in providing investment advice to individuals, corporations, and trusts. Richard is committed to helping clients achieve their financial goals through a personalized approach.
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.
Asset allocation programs
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.
Solicitors fees
1
2
NY
06/05/2023 - Present
MML Investors Services, LLC (GARDEN CITY NY)
NY
03/25/2021 - 11/16/2022
HORNOR, TOWNSEND & KENT, LLC (NEW YORK NY)
NY
12/04/2018 - 12/31/2019
EQUITY SERVICES, INC. (NEW YORK NY)
NY
09/01/2015 - 10/24/2018
MML INVESTORS SERVICES, LLC (NEW YORK NY)
NY
11/14/2011 - 08/06/2015
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC (NEW YORK NY)
IA
Issued 12/09/2013
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 04/02/2012
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/11/2011
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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