Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Richard? Claim Your ProfileRichard Sica has been working in the financial services industry since 1987. Richard is currently registered with Charles Schwab & Co., Inc. in Brookfield, CT. Previously Richard worked for Merrill Lynch, Pierce, Fenner & Smith Incorporated, UBS Financial Services Inc., Prudential Securities Incorporated, Cowen & Co. and Lehman Brothers Inc. Richard holds licenses for Series 3, 7, 9, 10, 31, 63, and 65, and holds a SIE license.
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.
Helps you choose top advisors aligned with your financial goals.
Wrap fee program sponsor and financial planning advisor referral program
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.
Asset based fees for wrap pgrms & subsc pricing for fin planning
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2
CT
10/04/2021 - Present
Charles Schwab & CO., Inc. (Brookfield CT)
CT
11/13/2009 - 10/04/2021
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (RIDGEFIELD CT)
CT
10/20/2000 - 12/02/2009
UBS FINANCIAL SERVICES INC. (STAMFORD CT)
NY
06/09/1997 - 11/02/2000
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NY
08/11/1993 - 06/19/1997
COWEN & CO. (NEW YORK NY)
NY
10/20/1987 - 09/01/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
IA
Issued 02/06/1998
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 10/23/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/28/2022
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/27/2022
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 12/14/2004
Series 31 - Futures Managed Funds Examination
BC
Issued 10/17/1987
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
Nasdaq Stock Market
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