Richard Louis Moriarty
Professional Summary
Richard Louis Moriarty is a registered financial advisor currently at VESTRA ADVISORS, LLC located in Miami, Florida. Richard is registered as a RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 5 firms and has passed the Series 63, Series 99TO, Series 79TO, SIE, Series 7, Series 10 and Series 24 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
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Contact Information
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Disclosures on record.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
VESTRA ADVISORS, LLC
Contact Information
Main Address
5201 E. Blue Lagoon Drive 8th Floor, Miami, FL 33126Mailing Address
5201 E. Blue Lagoon Drive 8th Floor, Miami, FL 33126Phone Number
(917) 747-0580Established
Delaware since 05/09/2023Firm Type
Limited Liability CompanyFiscal Year End
DecemberFirm Size
SmallFINRA licenses (10 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Documents
Direct owners and executive officers
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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
(3/6/2024)
(3/5/2024)
(3/20/2024)
(4/24/2024)
(3/1/2024)
(2/28/2024)
(3/26/2024)
(5/14/2024)
(3/1/2024)
(3/5/2024)
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 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Richard Louis Moriarty's CRS (Customer Relationship Summary).
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