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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.

BrightScope Advisor Metrics

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.

Experience and Employment History

Employer Years Dates
Rbc Capital Markets Corporation 6 years, 1 month Mar 2008 - Present
Rbc Dain Rauscher Inc. 6 years Mar 2002 - Mar 2008
Tucker Anthony Inc. 17 years Apr 1997 - Present
*Experience and Employment History information reflects the past 10 years of employment as reported on the SEC ADV filing as of 06/26/2012, and is not a complete representation of the advisor's experience and employment history. Furthermore, the advisor is required to provide this information only while registered with an investment advisor firm and the information is not updated through Form U4 after the advisor ceases to be registered. Therefore, an employment date of "Present" may not reflect the advisor's current employment status.

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.

Advisor Exams

Exam Series Passed Date
Uniform Investment Adviser Law Examination Series 65 07/15/1996
Registered Options Principal Examination Series 4 03/18/1987
Uniform Securities Agent State Law Examination Series 63 10/09/1980
NYSE Branch Manager Examination Series 12 06/17/1980
General Securities Principal Examination Series 24 02/11/1980
AMEX Put and Call Exam PC 01/17/1978
Registered Representative Examination Series 1 07/26/1968

Firm Compensation Arrangements

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Types of Compensation Arrangements

  • Percentage of Assets
  • Fixed Fees
  • Commissions