Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Robert? Claim Your ProfileRobert William Richards is a financial advisor with over 30 years of experience in the industry. Robert has a strong track record of success in the financial services industry, having worked with Fifth Third Securities, Inc., Loop Capital Markets LLC, Scotia Capital (USA) Inc., CIBC World Markets Corp., and Donaldson, Lufkin & Jenrette Securities Corporation. Robert is registered with the Financial Industry Regulatory Authority (FINRA) and is a Series 7, Series 24, and Series 63 licensed representative. He holds the Securities Industry Essentials (SIE) exam designation.
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.
Sponsor wrap fee program
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.
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2
NY
10/27/2015 - Present
Fifth Third Securities, Inc. (NEW YORK NY)
NY
08/06/2013 - 12/23/2014
LOOP CAPITAL MARKETS LLC (NEW YORK NY)
NY
11/17/2000 - 11/02/2011
SCOTIA CAPITAL (USA) INC. (NEW YORK NY)
NY
03/09/1998 - 03/03/2000
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NJ
06/01/1989 - 02/10/1998
DONALDSON, LUFKIN & JENRETTE SECURITIES CORPORATION (JERSEY CITY NJ)
BC
Issued 1/19/1989
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 6/23/2006
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/17/1988
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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