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William Rich

Loop Capital Markets LLC

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About William Rich

William Rich is a financial professional with over 20 years of experience in the industry. William is currently registered with Loop Capital Markets LLC in Chicago, Illinois. William has previously worked at Oppenheimer & Co. Inc., TD Securities (USA) LLC, Lebenthal & Co., LLC, and J.P. Morgan Securities Inc. William holds Series 7 and Series 63 licenses as well as the SIE exam.

Firm Information

William Rich is currently registered with Loop Capital Markets LLC. Loop Capital Markets LLC is a Limited Liability Company formed on June 1, 2004. The firm provides a range of advisory services, including transition management services, equity research services, and security ratings. It serves a variety of client types, including corporations, state or municipal government entities, other investment advisors, and pension plans. The firm is registered with the Securities and Exchange Commission and is licensed to conduct business in all 50 states.

Not reported

Assets Under Management

15

Total Clients

123

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.

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transition management services/equity research services

Transition management services/equity research services

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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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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other

Negotiated fees for research services

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William Rich’s Registration & Firm History

IL

11/14/2022 - Present

Loop Capital Markets LLC (CHICAGO IL)

NY

02/01/2016 - 11/11/2022

OPPENHEIMER & CO. INC. (NEW YORK NY)

NY

01/04/2010 - 10/06/2015

TD SECURITIES (USA) LLC (NEW YORK NY)

NY

09/16/2008 - 12/22/2009

LEBENTHAL & CO., LLC (NEW YORK NY)

NY

05/01/2001 - 07/02/2008

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

NY

04/25/2000 - 05/01/2001

J.P. MORGAN SECURITIES INC. (NEW YORK NY)

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Licenses & Designations

BC

Issued 05/22/2000

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/17/2000

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are no public disclosures for William Rich.
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