Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Yale Siegel is a financial professional with over 29 years of experience in the industry. Richard is currently registered with Stifel, Nicolaus & Company, Inc. and is located in Stamford, CT. Richard has previously held positions at B. Riley Securities, Inc., BTIG, LLC, Stifel, Nicolaus & Company, Inc., Knight Capital Americas LLC, Knight Capital Americas, L.P., Credit Suisse Securities (USA) LLC, CRT Capital Group LLC, UBS Securities LLC, and Bear, Stearns & Co. Inc. Richard holds the Series 63, Series 24, SIE, and Series 7 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.
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.
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.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
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2
CT
03/07/2023 - Present
Stifel, Nicolaus & Company, Inc. (STAMFORD CT)
CT
05/05/2022 - 02/01/2023
B. RILEY SECURITIES, INC. (Stamford CT)
NY
01/16/2018 - 05/02/2022
BTIG, LLC (New York NY)
NY
06/28/2013 - 12/21/2017
STIFEL, NICOLAUS & COMPANY, INCORPORATED (NEW YORK NY)
CT
07/02/2012 - 06/28/2013
KNIGHT CAPITAL AMERICAS LLC (GREENWICH CT)
CT
01/17/2012 - 07/02/2012
KNIGHT CAPITAL AMERICAS, L.P. (GREENWICH CT)
NY
08/17/2009 - 02/10/2012
CREDIT SUISSE SECURITIES (USA) LLC (NEW YORK NY)
CT
05/22/2008 - 08/18/2009
CRT CAPITAL GROUP LLC (STAMFORD CT)
CT
06/09/1999 - 05/28/2008
UBS SECURITIES LLC (STAMFORD CT)
NY
03/28/1994 - 06/16/1999
BEAR, STEARNS & CO. INC. (NEW YORK NY)
BC
Issued 06/16/1994
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/07/2023
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/18/1994
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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