Richard W. Seiffer

NATWEST MARKETS SECURITIES

Stamford, CT 06901

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CRD#: 2355383

Professional summary

Richard Wayne Seiffer, who also goes by Richard W. Seiffer, Rick Seiffer, is a registered financial professional currently at NATWEST MARKETS SECURITIES INC. located in Stamford, Connecticut.

Richard is registered as a RR (Registered Representative) and started their career in finance in 1993. Richard has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 7 and Series 24 exams.

Question & Answer

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Aliases

Richard W. Seiffer | Rick Seiffer

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 Wayne Seiffer's 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

April 30, 2014 - Present

NATWEST MARKETS SECURITIES INC.

Office #1: 600 Washington Boulevard, Stamford, CT 06901

CRD#: 11707

Stamford, CT

Past

January 16, 2014 - April 28, 2014

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW CANAAN, CT

Past

October 23, 2009 - May 29, 2012

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

August 19, 2008 - October 23, 2009

BANC OF AMERICA INVESTMENT SERVICES, INC.

CRD#: 16361

NEW YORK, NY

Past

June 14, 2000 - October 31, 2007

J.P. MORGAN SECURITIES LLC

CRD#: 79

NEW YORK, NY

Past

April 19, 1994 - August 20, 1999

CANTOR FITZGERALD SECURITIES

CRD#: 19660

NEW YORK, NY

Past

July 26, 1993 - September 29, 1993

HIBBARD BROWN & CO., INC.

CRD#: 18246

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

Connecticut
(4/30/2014)

Exams

State Security Law Exam

Series 63

Date: 8/3/1993

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 10/20/2023

Operations Professional Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 7/23/1993

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 1/2/2009

General Securities Principal Examination

SRO Registrations

FINRA

Current Firm

NATWEST MARKETS SECURITIES INC.

CRD#: 11707 / SEC#: , 8-37135

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

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Contact information

Main Address

600 Washington Boulevard, Stamford, CT 06901

Mailing Address

600 Washington Boulevard, Stamford, CT 06901

Phone number

(203) 897-2700

Established

Delaware since 11/07/1985

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Name	Position	CRD#
RBS HOLDINGS USA INC.	SHAREHOLDER
AUSBURN, MICHAEL THOMAS	DIRECTOR / CHIEF FINACIAL OFFICER	2523037
BROWER, LISA	SECRETARY, GENERAL COUNSEL	6177644
BUCCI, MICHELLE A	CHIEF OPERATING OFFICER	5192971
DESIMONE, LISA MARIE	CHIEF COMPLIANCE OFFICER	2691368
GIRARD, MICHELLE COLLEY	PRESIDENT / CHIEF EXECUTIVE OFFICER	2185240
ROOSE, SCOTT	DIRECTOR	2539705
SPEZZANO, CASEY RYAN	DIRECTOR	4678231

Disclosures

Regulatory Event	43
Civil Event	4

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

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Advisor Monitoring

Firm Stability Insights

Richard W. Seiffer

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Richard Wayne Seiffer's CRS (Customer Relationship Summary).

Certified licenses

Experience

J.P. MORGAN SECURITIES LLC

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BANC OF AMERICA INVESTMENT SERVICES, INC.

J.P. MORGAN SECURITIES LLC

CANTOR FITZGERALD SECURITIES

HIBBARD BROWN & CO., INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 8/3/1993

Series 99TO

Date: 10/20/2023

SIE

Date: 10/1/2018

Series 7

Date: 7/23/1993

Series 24

Date: 1/2/2009

FINRA

Current Firm

NATWEST MARKETS SECURITIES INC.

Contact information

FINRA licenses (49 States and Territories)

Documents

Direct owners and executive officers

Disclosures

Red Flags

Company Information

NATWEST MARKETS SECURITIES INC.

TRUST BUT VERIFY

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