Richard J. Urciuoli

SUMMIT PLANNING GROUP

E. Syracuse, NY 13057

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CRD#: 1239283

Professional summary

Richard John Urciuoli, who also goes by Richard John Uricuoli, is a registered financial advisor currently at SUMMIT PLANNING GROUP, INC. located in E. Syracuse, New York.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1984. Richard has worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 24 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Richard John Uricuoli

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.

1. 8/14/2006 - SUMMIT PLANNING GROUP, INC. - Investment Related - At Reported Business Location(s) - REGISTERED INVESTMENT ADVISOR - Time Spent 10% - RIA PROVIDES FINANCIAL PLANNING FOR A FIXED AND/OR HOURLY FEE. 2. 8/28/2012 - SUMMIT PLANNING GROUP - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business). 3. 12/5/2013 - 6674 HAMMERSMITH REALTY ASSOCIATES, LLC - Investment Related - 6674 Hammersmith Dr., East Syracuse, NY 13057 - REAL ESTATE RENTAL - Time Spent 1% - BOUGHT A BUILDING. RENT IT OUT TO MY DBA, SUMMIT PLANNING GROUP.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard John Urciuoli's CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 11, 2020 - Present

SUMMIT PLANNING GROUP, INC.

Office #1: 6674 Hammersmith Dr., E. Syracuse, NY 13057

RIA

CRD#: 125994

E. Syracuse, NY

Past

June 9, 1995 - July 6, 2020

LPL FINANCIAL LLC

RIA

CRD#: 6413

EAST SYRACUSE, NY

Past

December 16, 1989 - July 6, 2020

LPL FINANCIAL LLC

CRD#: 6413

EAST SYRACUSE, NY

Past

March 15, 1988 - December 16, 1989

LINSCO FINANCIAL GROUP, INC.

CRD#: 524

Past

September 24, 1984 - March 15, 1988

MHA FINANCIAL CORP

CRD#: 7462

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SUMMIT PLANNING GROUP, INC.

CRD#: 125994 / SEC#: 801-122168

RIA

Registered Investment Advisory firm - (9/15/2021 Approved)

New York

Registered Investment Advisory firm - (10/18/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/18/2021 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

Highlighted states indicate IAR registrations

IAR

New York
(4/20/2021)

IAR

Texas
(8/11/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 9/14/1984

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 9/15/1984

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 7/21/1986

General Securities Principal Examination

Current Firm

SUMMIT PLANNING GROUP, INC.

CRD#: 125994 / SEC#: 801-122168

RIA

Registered Investment Advisory firm - (9/15/2021 Approved)

New York

Registered Investment Advisory firm - (10/18/2021 Terminated)

Texas

Registered Investment Advisory firm - (10/18/2021 Terminated)

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Contact information

Main Address

6674 Hammersmith Dr., E. Syracuse, NY 13057

Mailing Address

Phone number

(315) 425-0344

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (4 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

ADV PART II A BROCHURE (4/9/2025)

Regulatory assets under management

Total Number of Accounts	466
AUM (Assets Under Management)	$ 104,138,526

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.

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Firm Stability Insights

Richard J. Urciuoli

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard John Urciuoli's CRS (Customer Relationship Summary).

Certified licenses

Experience

LPL FINANCIAL LLC

LPL FINANCIAL LLC

LINSCO FINANCIAL GROUP, INC.

MHA FINANCIAL CORP

Primary Firm SEC Registration

SUMMIT PLANNING GROUP, INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 9/14/1984

SIE

Date: 10/1/2018

Series 7

Date: 9/15/1984

Series 24

Date: 7/21/1986

Current Firm

SUMMIT PLANNING GROUP, INC.

Contact information

SEC notice filing (4 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

SUMMIT PLANNING GROUP, INC.

TRUST BUT VERIFY

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