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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 Sanfilippo is a financial advisor with over 30 years of experience in the financial services industry. Richard has been registered with Morgan Stanley since 2009 and has a proven track record of providing financial advice to a wide range of clients. Richard is dedicated to helping his clients achieve their financial goals, whether it's planning for retirement, saving for college, or protecting their assets. He is committed to providing personalized service and working closely with his clients to develop tailored financial plans. Richard is also a Series 7, 31, 63, and 65 licensed advisor and has a SIE certification. Richard has been registered with the Securities and Exchange Commission (SEC) since 1992. Richard has previously worked with Citigroup Global Markets Inc and Lehman Brothers Inc. Richard has experience working with High-net-worth individuals, corporations, charitable organizations, insurance companies, and investment companies. Richard is a registered Investment Advisor and is licensed to provide financial advice in a number of states across the country.
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
FL
02/11/2014 - Present
Morgan Stanley (Winter Park FL)
FL
07/31/1993 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (WINTER PARK FL)
NY
06/11/1992 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 07/06/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 06/19/1992
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/18/2006
Series 31 - Futures Managed Funds Examination
BC
Issued 06/09/1992
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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