Richard L. Moriarty

VESTRA ADVISORS

Miami, FL 33126

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CRD#: 2154415

Professional summary

Richard Louis Moriarty is a registered financial professional 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.

Question & Answer

Are you a "fiduciary"?

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

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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

February 27, 2024 - Present

VESTRA ADVISORS, LLC

Office #1: 5201 E Blue Lagoon Drive 8th Floor, Miami, FL 33126Office #2: 5201 E. Blue Lagoon Drive 8th Floor, Miami, FL 33126Office #3: One World Trade Center 85th Floor, New York, NY, 10007

CRD#: 327907

Miami, FL

Past

July 9, 2023 - March 26, 2024

HOLLISTER ASSOCIATES, LLC

CRD#: 173366

NEW YORK, NY

Past

November 28, 1997 - September 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Past

February 7, 1995 - May 26, 2023

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

January 7, 1992 - January 17, 1995

KIDDER, PEABODY & CO. INCORPORATED

CRD#: 7613

NEW YORK, NY

State Registrations and Notice Filings

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

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

Arizona
(3/6/2024)

California
(3/5/2024)

Colorado
(3/20/2024)

Florida
(4/24/2024)

Georgia
(3/1/2024)

New York
(2/28/2024)

North Carolina
(3/26/2024)

Ohio
(5/14/2024)

Texas
(3/1/2024)

Virginia
(3/5/2024)

Exams

State Security Law Exam

Series 63

Date: 7/25/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 9/22/2023

Operations Professional Examination

General Industry/Product Exam

Series 79TO

Date: 1/2/2023

Investment Banking Registered Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 1/6/1992

General Securities Representative Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 6/21/2002

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

VESTRA ADVISORS, LLC

CRD#: 327907 / SEC#: , 8-71140

Broker-Dealer Firm Regulated by FINRA (Florida district office)

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Contact information

Main Address

5201 E. Blue Lagoon Drive 8th Floor, Miami, FL 33126

Mailing Address

5201 E. Blue Lagoon Drive 8th Floor, Miami, FL 33126

Phone number

(917) 747-0580

Established

Delaware since 05/09/2023

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
VESTRA ADVISORS HOLDING COMPANY, LLC	PARENT COMPANY
KUHN, BRYAN PATRICK	PARTNER	5938486
MORIARTY, RICHARD LOUIS	MANAGING PARTNER	2154415
PORTWOOD, WILLIAM BOYCE	CCO/POO/PFO	4853700
PRAMOD, TARUN	PARTNER	6501967
VUKSICH, ALEXANDER WARD	PARTNER	5683995

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.

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Firm Stability Insights

Richard L. Moriarty

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Louis Moriarty's CRS (Customer Relationship Summary).

Certified licenses

Experience

HOLLISTER ASSOCIATES, LLC

SALOMON BROTHERS INC.

CITIGROUP GLOBAL MARKETS INC.

KIDDER, PEABODY & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/25/2002

Series 99TO

Date: 9/22/2023

Series 79TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 7

Date: 1/6/1992

Series 10

Date: 1/2/2023

Series 24

Date: 6/21/2002

FINRA

Current Firm

VESTRA ADVISORS, LLC

Contact information

FINRA licenses (10 States and Territories)

Documents

Direct owners and executive officers

Red Flags

Company Information

VESTRA ADVISORS, LLC

TRUST BUT VERIFY

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