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Sandy Fleischman Richman

Barclays Capital Inc.

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About Sandy Fleischman Richman

Sandy Fleischman Richman is a financial professional with over 30 years of experience in the securities industry. Sandy is currently registered with Barclays Capital Inc. and has held previous positions at Lehman Brothers Inc. and Paribas Corporation. Sandy has a wide range of licenses and registrations including Series 3, 7, 9, 10, 24, 63 and SIE. Sandy is licensed in all 50 states, the District of Columbia, Puerto Rico and the Virgin Islands.

Firm Information

Sandy Richman is currently registered with Barclays Capital Inc.. Barclays Capital Inc. is a Corporation formed on March 30, 1998 and is registered in all 50 states, as well as the District of Columbia, Puerto Rico and the Virgin Islands. The firm has a history of regulatory and civil events, with 120 regulatory disclosures and 4 civil disclosures on record.

Not reported

Assets Under Management

Not reported

Total Clients

434

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Sandy Richman’s Registration & Firm History

NY

09/22/2008 - Present

Barclays Capital Inc. (NEW YORK NY)

NY

06/07/1993 - 09/22/2008

LEHMAN BROTHERS INC. (NEW YORK NY)

NY

04/04/1985 - 05/13/1993

PARIBAS CORPORATION (NEW YORK NY)

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Licenses & Designations

BC

Issued 06/18/1985

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 05/19/2003

Series 24 - General Securities Principal Examination

BC

Issued 02/22/2002

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 02/22/2002

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/16/1989

Series 3 - National Commodity Futures Examination

BC

Issued 03/16/1985

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

B

BOX Exchange LLC

C

Cboe BYX Exchange, Inc.

C

Cboe BZX Exchange, Inc.

C

Cboe C2 Exchange, Inc.

C

Cboe EDGA Exchange, Inc.

C

Cboe EDGX Exchange, Inc.

C

Cboe Exchange, Inc.

F

FINRA

I

Investors' Exchange LLC

L

Long-Term Stock Exchange, Inc.

M

MEMX LLC

M

MIAX Emerald, LLC

M

MIAX PEARL, LLC

M

Miami International Securities Exchange, LLC

N

NYSE American LLC

N

NYSE Arca, Inc.

N

NYSE Chicago, Inc.

N

NYSE National, Inc.

N

Nasdaq BX, Inc.

N

Nasdaq GEMX, LLC

N

Nasdaq ISE, LLC

N

Nasdaq MRX, LLC

N

Nasdaq PHLX LLC

N

Nasdaq Stock Market

N

New York Stock Exchange

Disclosures

There are no public disclosures for Sandy Fleischman Richman.
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