Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Paul Caruso is a financial advisor with over 30 years of experience in the financial services industry. Richard has been registered with Cambridge Investment Research Advisors, Inc. since November 2018. Previously, Richard was registered with Ohanesian/Lecours, Inc., Aetna Investment Services, Inc., and Aetna Life Insurance and Annuity Company. Richard offers financial planning, portfolio management for individuals, and portfolio management for businesses.
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.
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.
Solicitation fees from 3rd party money managers
1
2
CT
11/09/2018 - Present
Cambridge Investment Research Advisors, Inc. (Bristol CT)
CT
08/03/1993 - 12/14/2018
OHANESIAN / LECOURS, INC. (BRISTOL CT)
CT
10/15/1993 - 12/08/1999
AETNA INVESTMENT SERVICES, INC. (WINDSOR CT)
CT
02/10/1988 - 10/15/1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY (HARTFORD CT)
NA
12/02/1991 - 07/07/1993
G. R. PHELPS & CO., INC.
MA
04/18/1990 - 12/31/1990
COMMONWEALTH EQUITY SERVICES, INC. (WALTHAM MA)
MA
06/02/1988 - 12/31/1989
COMMONWEALTH EQUITY SERVICES, INC. (WALTHAM MA)
NA
02/18/1987 - 11/13/1987
PRUCO SECURITIES CORPORATION
BC
Issued 06/04/1999
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/17/1987
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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