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Richard Wayne Seiffer

Natwest Markets Securities Inc.

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About Richard Wayne Seiffer

Richard Wayne Seiffer is a financial advisor with Natwest Markets Securities Inc. in Stamford, CT. Richard Seiffer has over 26 years of experience in the securities industry. Richard Seiffer has passed the Series 63, Series 24, Series 99TO, SIE, and Series 7 exams. Richard Seiffer is registered in Connecticut. Richard Seiffer was previously registered with J.P. Morgan Securities LLC, MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, BANC OF AMERICA INVESTMENT SERVICES, INC., BEAR, STEARNS & CO. INC., CANTOR FITZGERALD SECURITIES, and HIBBARD BROWN & CO., INC..

Firm Information

Richard Seiffer 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 Seiffer’s Registration & Firm History

CT

04/30/2014 - Present

Natwest Markets Securities Inc. (STAMFORD CT)

CT

01/16/2014 - 04/28/2014

J.P. MORGAN SECURITIES LLC (NEW CANAAN CT)

NY

10/23/2009 - 05/29/2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

08/19/2008 - 10/23/2009

BANC OF AMERICA INVESTMENT SERVICES, INC. (NEW YORK NY)

NY

06/14/2000 - 10/31/2007

BEAR, STEARNS & CO. INC. (NEW YORK NY)

NY

04/19/1994 - 08/20/1999

CANTOR FITZGERALD SECURITIES (NEW YORK NY)

NY

07/26/1993 - 09/29/1993

HIBBARD BROWN & CO., INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 08/03/1993

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2009

Series 24 - General Securities Principal Examination

BC

Issued 10/20/2023

Series 99TO - Operations Professional Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 07/23/1993

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Richard Wayne Seiffer. Review regulatory record here.
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