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Richard D'amico

DWS Distributors, Inc.

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About Richard D'amico

Richard D'amico is an investment professional with over 25 years of experience in the financial services industry. He is currently registered with DWS Distributors, Inc. and is licensed in several states including Illinois, Massachusetts, New York, Ohio, Pennsylvania, and West Virginia. Richard's previous experience includes roles with Sun Life Financial Distributors, Inc., AIG SunAmerica Capital Services, Inc., and Salomon Smith Barney Inc. Richard holds a variety of licenses including Series 7, Series 63, Series 26 and SIE.

Firm Information

Richard D'amico is currently registered with DWS Distributors, Inc.. DWS Distributors, Inc. is a corporation formed in September 1994 and is registered in all 50 states, the District of Columbia, Puerto Rico, and the Virgin Islands. The firm has been involved in 5 regulatory events and 1 arbitration case.

Not reported

Assets Under Management

Not reported

Total Clients

51

Total Financial Advisors

Services Offered

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.

Fee Structure

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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Richard D'amico’s Registration & Firm History

IL

02/13/2012 - Present

DWS Distributors, Inc. (CHICAGO IL)

MA

11/22/2004 - 12/31/2011

SUN LIFE FINANCIAL DISTRIBUTORS, INC. (WELLESLEY HILLS MA)

NJ

02/25/1999 - 11/12/2004

AIG SUNAMERICA CAPITAL SERVICES, INC. (JERSEY CITY NJ)

NY

04/23/1996 - 11/18/1998

SALOMON SMITH BARNEY INC. (NEW YORK NY)

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Licenses & Designations

IA

Issued 05/06/1996

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 04/30/1996

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 06/16/2005

Series 26 - Investment Company Products/Variable Contracts Principal Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 04/22/1996

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Richard D'amico. Review regulatory record here.
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