Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Sunwoo is a financial advisor with over 25 years of experience in the industry. Richard is currently registered with Raymond James & Associates, Inc. Richard's previous experience includes time with WELLS FARGO CLEARING SERVICES, LLC, J.P. MORGAN SECURITIES LLC, CHASE INVESTMENT SERVICES CORP., MORGAN STANLEY DW INC. and MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED. Richard holds Series 7, 66, and SIE licenses. Richard provides portfolio management for individuals and businesses, financial planning, educational seminars, and selection of other advisors. Richard's primary office is located in NEW YORK, NY.
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.
Please see note in schedule d - miscellaneous
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.
1
2
NY
05/27/2021 - Present
Raymond James & Associates, Inc. (NEW YORK NY)
NY
09/12/2018 - 05/28/2021
WELLS FARGO CLEARING SERVICES, LLC (NEW YORK NY)
NY
10/01/2012 - 09/17/2018
J.P. MORGAN SECURITIES LLC (NEW YORK NY)
NY
09/09/2002 - 10/01/2012
CHASE INVESTMENT SERVICES CORP. (NEW YORK NY)
NY
03/03/1999 - 09/05/2002
MORGAN STANLEY DW INC. (PURCHASE NY)
NY
03/13/1998 - 03/05/1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
BOTH
Issued 04/13/1998
Series 66 - Uniform Combined State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 03/12/1998
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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