Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Varalla is a financial professional registered with Capital One Securities, Inc. in New York, NY. Richard has worked in the securities industry since 2001. Richard holds licenses including Series 7, Series 63 and Series 79TO.
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.
1
2
NY
01/06/2023 - Present
Capital ONE Securities, Inc. (New York NY)
NC
05/17/2001 - 08/08/2001
WACHOVIA SECURITIES, INC. (CHARLOTTE NC)
BC
Issued 01/30/2023
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/06/2023
Series 79TO - Investment Banking Registered Representative Examination
BC
Issued 12/05/2022
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2001
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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