Richard Alan Ryffel
Professional Summary
Richard Alan Ryffel is a registered financial advisor currently at ACCESS SECURITIES, LLC located in Matthews, North Carolina. Richard is registered as a RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 8 firms and has passed the Series 63, Series 79TO, Series 52TO, SIE, Series 7, Series 10, Series 9 and Series 53 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
This advisor has not claimed their profile yet, so there is no contact information to display at this time.
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities. Check for any disclosures as part of your thorough research when choosing an advisor.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
ACCESS SECURITIES, INC. | ACCESS SECURITIES, LLC
Contact Information
Main Address
140 Elm Street Suite 7, New Canaan, CT 06840Mailing Address
140 Elm Street Suite 7, New Canaan, CT 06840Phone Number
(203) 322-3377Established
Delaware since 05/30/2007Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (24 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
Disclosures
Regulatory Event
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Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.
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State Registrations and Notice Filings
(9/11/2025)
(9/11/2025)
(7/15/2025)
(9/11/2025)
(9/11/2025)
(10/22/2025)
(9/11/2025)
(7/15/2025)
(9/11/2025)
(9/11/2025)
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 79TO — Investment Banking Registered Representative Examination
Passed Jan 2023About the Series 79TO examSeries 52TO — Municipal Securities Representative Examination
Passed Jan 2023About the Series 52TO examSeries 10 — General Securities Sales Supervisor - General Module Examination
Passed Mar 2018About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Mar 2018About the Series 9 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Alan Ryffel's CRS (Customer Relationship Summary).
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