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Richard F. Caravella

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CRD#: 1007425
RC

Professional summary

Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.

That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.

Richard Fred Caravella was a registered financial advisor .

Richard is a previously registered financial advisor and started their career in finance in 1996. Richard had worked at 10 firms and has passed the Series 6 exam.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

None

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 23, 2010 - December 31, 2012

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

RIA
CRD#: 143384
COLUMBUS, OH
Past

February 22, 2010 - December 31, 2012

RESOURCE HORIZONS GROUP LLC

BD
CRD#: 104368
MARIETTA, GA
Past

September 15, 2008 - December 22, 2009

CAPITAL CITY SECURITIES, LLC

BD
CRD#: 146001
COLUMBUS, OH
Past

May 12, 2008 - January 29, 2010

CAPITAL CITY ASSET MANAGEMENT GROUP, LLC

RIA
CRD#: 134008
COLUMBUS, OH
Past

November 28, 2005 - October 5, 2007

REALTA EQUITIES, INC.

BD
CRD#: 23769
WILMINGTON, DE
Past

November 17, 2003 - August 4, 2005

NATIONWIDE SECURITIES, LLC

BD
CRD#: 11173
COLUMBUS, OH
Past

July 7, 2003 - September 9, 2003

NEW ENGLAND SECURITIES

RIA
CRD#: 615
COLUMBUS, OH
Past

October 12, 1999 - September 9, 2003

NEW ENGLAND SECURITIES

BD
CRD#: 615
NEW YORK, NY
Past

December 14, 1998 - July 13, 1999

UNITED PLANNERS' FINANCIAL SERVICES OF AMERICA A LIMITED PARTNER

BD
CRD#: 20804
SCOTTSDALE, AZ
Past

April 26, 1996 - May 1, 1997

JOHN HANCOCK MUTUAL LIFE INSURANCE COMPANY

BD
CRD#: 5181
BOSTON, MA
Past

April 26, 1996 - October 16, 1998

SIGNATOR INVESTORS, INC.

BD
CRD#: 468
BOSTON, MA

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

General Industry/Product Exam
RR
Series 6
Date: 4/19/1996
Investment Company Products/Variable Contracts Representative Examination

Current Firm

RH
RESOURCE HORIZONS INVESTMENT ADVISORY, INC.
BENEFIT PLANNING | WEALTH ENHANCEMENT & PRESERVATION OF GEORGIA | TRIUMPH ADVISORS | THE DGR GROUP | TGC FINANCIAL ADVISORY GROUP | SUN FINANCIAL SERVICES | SUMMIT FINANCIAL SERVICES | STRATEGIC ASSET ADVISORS | SMARTGROUP HOUSTON | RETIREMENT SOLUTIONS | RETIREMENT ASSET MANAGEMENT | RESOURCE HORIZONS INVESTMENT ADVISORY, INC. | PRM FINANCIAL SERVICES | PARADIGM FINANCIAL GROUP | OAK TREE GROUP | NAVIGATIONAL WEALTH PLANNING | MBA FINANCIAL ADVISORS | MASTERS WEALTH MANAGEMENT GROUP | LIFEPLAN FINANCIAL ADVISORS | LIFE & BENEFIT SERVICES | LCS FINANCIAL GROUP | JFC FINANCIAL SOLUTIONS | INVESTMENT PLANNING SOLUTIONS | INTEGRATED RETIREMENT PLANNING | INNOVATIVE WEALTH MANAGEMENT | HORIZON FINANCIAL CONSULTING | GM FINANCIAL PLANNING | FOCUS FINANCIAL SERVICES | FIRST FINANCIAL RESOURCES | FINANCIAL PARTNERS WEALTH MANAGEMENT | FINANCIAL DESTINY | FEDERAL RETIREMENT ADVISORS | CUMMINGS FINANCIAL SERVICES | BLACK OAK ASSET MANAGEMENT | BENEFIT PLANNING OF CALIFORNIA | BENEFIT PLANNING ADVISORS

CRD#: 143384 / SEC#: 801-68068

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Contact information

Main Address
1350 Church Street, Ext., N.e. 3rd Floor, Marietta, GA 30060
Mailing Address
Phone number
Established
Firm type
Fiscal year end
# of Employees

Documents

Latest Form ADV

Part 2 Brochures

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

RESOURCE HORIZONS INVESTMENT ADVISORY, INC.

CRD#: 143384

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