Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Brian Simcik is a financial advisor currently registered with Equitable Distributors, LLC. He is registered in Connecticut, and previously held registrations with HARTFORD EQUITY SALES COMPANY INC., UNDERWRITERS EQUITY CORPORATION and PRUCO SECURITIES, LLC.. Richard Simcik has held his current registration since August 10, 2011. Richard Simcik has passed both Series 6 and Series 63 exams, as well as the SIE exam and the Uniform Investment Adviser Law Examination.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
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2
NC
08/10/2011 - Present
Equitable Distributors, LLC (Charlotte NC)
CT
05/29/2007 - 08/12/2011
HARTFORD EQUITY SALES COMPANY INC. (SIMSBURY CT)
CT
11/30/2005 - 04/09/2007
UNDERWRITERS EQUITY CORPORATION (FARMINGTON CT)
NJ
02/05/2002 - 06/09/2004
PRUCO SECURITIES, LLC. (NEWARK NJ)
IA
Issued 01/07/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 03/14/2002
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/04/2002
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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