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RR

Richard A. Ryffel

ACCESS SECURITIES
Matthews, NC
Some features on this profile are disabled
CRD#: 2057678
RR

Professional summary

Richard Alan Ryffel is a registered financial professional 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.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Alan Ryffel's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

July 15, 2025 - Present

ACCESS SECURITIES, LLC

BD
CRD#: 22455
Matthews, NC
Past

March 15, 2021 - August 1, 2023

OSAIC INSTITUTIONS, INC.

BD
CRD#: 35371
Chesterfield, MO
Past

November 22, 2017 - August 7, 2020

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
Clayton, MO
Past

October 28, 2016 - September 18, 2017

FORESIDE FUND SERVICES, LLC

BD
CRD#: 46106
PORTLAND, ME
Past

May 18, 2015 - September 15, 2016

STERN BROTHERS & CO.

BD
CRD#: 16325
ST. LOUIS, MO
Past

August 27, 2012 - April 21, 2015

J.P. MORGAN SECURITIES LLC

BD
CRD#: 79
CLAYTON, MO
Past

March 6, 2008 - July 16, 2012

EDWARD JONES

BD
CRD#: 250
ST. LOUIS, MO
Past

April 23, 2002 - February 28, 2008

BANC OF AMERICA SECURITIES LLC

BD
CRD#: 26091
ST. LOUIS, MO
Past

April 8, 1991 - April 10, 2002

A. G. EDWARDS & SONS, INC.

BD
CRD#: 4
ST. LOUIS, MO

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
California
(9/11/2025)
RR
Florida
(9/11/2025)
RR
Illinois
(7/15/2025)
RR
Maryland
(9/11/2025)
RR
Massachusetts
(9/11/2025)
RR
Missouri
(10/22/2025)
RR
New Jersey
(9/11/2025)
RR
New York
(7/15/2025)
RR
North Carolina
(9/11/2025)
RR
Texas
(9/11/2025)

Exams

State Security Law Exam
RR
Series 63
Date: 10/28/1992
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative Examination
General Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 4/4/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 10
Date: 3/22/2018
General Securities Sales Supervisor - General Module Examination
Principal/Supervisory Exam
RR
Series 9
Date: 3/17/2018
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 53
Date: 6/13/2002
Municipal Securities Principal Examination
SRO Registrations
RR
FINRA

Current Firm

AS
ACCESS SECURITIES, LLC
ACCESS SECURITIES, INC. | ACCESS SECURITIES, LLC

CRD#: 22455 / SEC#: , 8-39729

BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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Contact information

Main Address
140 Elm Street Suite 7, New Canaan, CT 06840
Mailing Address
140 Elm Street Suite 7, New Canaan, CT 06840
Phone number
(203) 322-3377
Established
Delaware since 05/30/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (24 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
LEPERCQ DE NEUFLIZE & CO., INCORPORATEDMEMBER
CRAWFORD, SHARI JEANNESECRETARY (2/2024) AND CFO (01/2010), AMLCO AND GSP AND CCO2387030
FELDMAN, RICHARD MARKFINOP2273453
FREMED, JOSHUA MARCSOLE MANAGER4985772
GOING, MICHAEL LEEPRESIDENT/CEO, GSP4687384

Disclosures

Regulatory Event3

Red Flags

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.

Company Information

ACCESS SECURITIES, LLC

CRD#: 22455Matthews, NC

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