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Richard Frederick Nydegger

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Type: SEC and FINRA Registered

Richard Nydegger is a financial professional at RBC Capital Markets, LLC, a broker-dealer with over 5,200 registered representatives nationwide. Richard has held an industry securities registration for 43 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Rbc Capital Markets Corporation 7 years Mar 2008 - Present
Rbc Dain Rauscher Inc. 6 years Mar 2002 - Mar 2008
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 07/15/1996
Uniform Securities Agent State Law ExaminationSeries 63 10/09/1980

Answers and Guides

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Top Guides

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Firm Client Types

High Net Worth Individuals
Banking or Thrift Institutions
Pension and Profit Sharing Plans
Charitable Organizations
Corporations or Other Businesses
State or Municipal Government Entities
Other Investment Advisors
Insurance Companies

*The Client Types data displayed is firm level data as reported on the SEC ADV filing.

Licenses and Conduct

License Status

1 Customer Dispute

1 Customer Dispute

As of Date
*This advisor may not be SEC registered. The SEC maintains the database for state registered advisors as well as SEC registered advisors.
*A single dispute is often reported by both the SEC and FINRA and therefore will be reported as both an SEC dispute and FINRA dispute in this section.
*BrightScope is not endorsed by or affiliated with FINRA.

Firm Compensation Arrangements

Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions