RD
CFA
RD
CFA

Richard Derose

15 Years of Experience
New York, NY
Broker

Richard Derose is a CFA-designated registered investment advisor at Empirical Research Partners LLC, based in New York, NY, with 15 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Investment Management.

Compensation
N/A
Firm Size
18 advisors
IM Fee
Planning only

Fee Structure

Investment management only (planning not offered)

Detailed fee information is not available for this advisor. View their full brochure on SEC.gov for fee details.

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Location

565 Fifth Avenue, 25th Floor, New York, NY, 10017

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History

Regulatory History
Clean regulatory record

No disclosures, customer disputes, or regulatory actions on file.

Disclosures include customer complaints, regulatory actions, and other events that advisors must report to the SEC. A clean record means none have been reported.

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Employment History
Current Registrations
Empirical Research Partners LLC
August 2023 - Present · 3 yrs 2 mos
Empirical Research Partners LLCBroker
December 2012 - Present · 13 yrs 10 mos
Previous Registrations
Nomura Securities International, INC.Broker
December 2010 - October 2012 · 1 yr 10 mos
State Registrations1 state
NY
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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