Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Vincent is a financial professional with over 30 years of experience in the industry. Richard has a wide range of experience in the financial services industry, having worked for several firms, including UBS Financial Services Inc., Morgan Stanley Smith Barney, Citigroup Global Markets Inc., and Oppenheimer & Co. Inc., before joining A.G.P. / Alliance Global Partners. Richard specializes in providing financial planning services to a wide range of clients, including high-net-worth individuals, corporations, and retirement plans. Richard is also registered as an investment advisor representative in several states and holds the Series 7, Series 63, and Series 65 licenses.
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.
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.
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.
A percentage of the total value of assets under management is charged.
Sub-adviser of pooled investment vehicle charges a performance f
1
2
FL
02/26/2020 - Present
A.g.p. / Alliance Global Partners (BOCA RATON FL)
NJ
04/30/2010 - 03/06/2020
UBS FINANCIAL SERVICES INC. (FLORHAM PARK NJ)
NJ
06/01/2009 - 05/27/2010
MORGAN STANLEY SMITH BARNEY (FLORHAM PARK NJ)
NJ
11/18/2005 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (FLORHAM PARK NJ)
NY
01/03/2003 - 11/22/2005
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
08/08/1995 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
03/14/1983 - 08/18/1995
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
03/01/1983 - 06/27/1984
LEHMAN BROTHERS KUHN LOEB INCORPORATED
IA
Issued 11/08/1994
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/11/1983
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/19/1983
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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