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Richard Frederick Nydegger

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Information

Firm:
Type: Dual Registration
Description

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 42 years and is subject to SEC and FINRA oversight.

Advisor Timeline

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Experience
EmployerYearsDates
Rbc Capital Markets Corporation 6 years, 6 months Mar 2008 - Present
Rbc Dain Rauscher Inc. 6 years Mar 2002 - Mar 2008
Tucker Anthony Inc. 17 years, 5 months Apr 1997 - Present
Exams
ExamSeriesPassed Date
Uniform Investment Adviser Law ExaminationSeries 65 07/15/1996
Registered Options Principal ExaminationSeries 4 03/18/1987
Uniform Securities Agent State Law ExaminationSeries 63 10/09/1980
NYSE Branch Manager ExaminationSeries 12 06/17/1980
General Securities Principal ExaminationSeries 24 02/11/1980
AMEX Put and Call ExamPC 01/17/1978
Registered Representative ExaminationSeries 1 07/26/1968

Answers and Guides

0 Answers and 0 Financial Guides

Top Answers

Richard Frederick Nydegger has not answered any questions on Financial Q&A.

Top Guides

Richard Frederick Nydegger has not contributed any Financial Guides.
*Answers and guides are provided without compensation.

Firm Client Types

Individuals
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

Regulator
License Status
Registered
Registered
Disclosures

1 Customer Dispute

1 Customer Dispute

As of Date
06/26/2012
10/05/2012
*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

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions