Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Rick? Claim Your ProfileRick Betancourt is an investment professional with over 14 years of experience in the financial services industry. Rick is currently registered with LPL Financial LLC, working with a wide range of clients, including individuals, families, corporations, and charitable organizations. Rick has extensive experience in financial planning, portfolio management, and retirement planning. In addition to his role at LPL Financial LLC, Rick also works as a tax preparer. Rick has held previous roles at Royal Alliance Associates, Inc., Maxim Group LLC, HFP Capital Markets LLC, and First Republic Group, LLC.
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.
Consulting and other non-discretionary advisory services
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
NY
08/10/2020 - Present
LPL Financial LLC (HUNTINGTON NY)
NY
07/01/2014 - 08/12/2020
ROYAL ALLIANCE ASSOCIATES, INC. (LONG BEACH NY)
NY
10/27/2011 - 07/08/2014
MAXIM GROUP LLC (NEW YORK NY)
NY
05/05/2009 - 11/03/2011
HFP CAPITAL MARKETS LLC (NEW YORK NY)
NY
10/12/2007 - 01/08/2008
FIRST REPUBLIC GROUP, LLC (NEW YORK NY)
IA
Issued 10/05/2012
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/22/2007
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 09/16/2019
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/11/2007
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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