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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Sulewski is an investment advisor representative with Wealthpenn.comllc. Richard has been working in the financial services industry since July 22, 1995. Richard has held previous roles at firms such as CITIGROUP GLOBAL MARKETS INC., MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED, FIRST CHICAGO NBD INVESTMENT SERVICES, INC., ESSEX NATIONAL SECURITIES, INC., AMERICAN EXPRESS FINANCIAL ADVISORS INC., and IDS LIFE INSURANCE COMPANY. Richard holds a Series 7, Series 10, Series 24, Series 63, and Series 65 license. Richard is registered to provide investment advice in Arizona, California, Delaware, District of Columbia, Florida, Illinois, Indiana, Louisiana, Michigan, New Jersey, New York, Ohio, and Virginia.
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.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
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.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
IN
06/01/2009 - Present
Wealthpenn.comllc (Indianapolis IN)
IN
09/06/2002 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (INDIANAPOLIS IN)
NY
02/03/1999 - 09/05/2002
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
IL
03/15/1996 - 12/22/1998
FIRST CHICAGO NBD INVESTMENT SERVICES, INC. (CHICAGO IL)
CA
12/05/1995 - 03/14/1996
ESSEX NATIONAL SECURITIES, INC. (NAPA CA)
MN
05/08/1995 - 10/31/1995
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
05/08/1995 - 10/31/1995
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 3/5/2001
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 5/27/1995
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 1/2/2023
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 3/24/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 5/6/1995
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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