Richard A. Schilffarth
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 Allen Schilffarth JR, who also goes by Richard Allen Schilffarth, Rick Schilffarth Jr, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1984. Richard had worked at 14 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 29, 2016 - November 5, 2024
STERNECK CAPITAL MANAGEMENT LLC
September 17, 2014 - June 24, 2015
MOTIF
October 3, 2011 - December 17, 2013
RBC CAPITAL MARKETS, LLC
October 3, 2011 - December 17, 2013
RBC CAPITAL MARKETS, LLC
January 10, 2011 - October 4, 2011
BEST DIRECT SECURITIES, LLC
January 3, 2011 - October 4, 2011
CONCORDIUS CAPITAL ADVISORS
February 8, 2007 - December 31, 2010
CONCORDIUS CAPITAL ADVISORS
January 24, 2007 - December 31, 2008
WFG INVESTMENTS, INC.
March 24, 2006 - May 9, 2006
UNIFIED FINANCIAL SECURITIES, LLC
January 23, 2006 - May 16, 2006
IMS CAPITAL MANAGEMENT
March 1, 2004 - December 31, 2005
KELMOORE INVESTMENT COMPANY, INC.
May 18, 1999 - December 31, 2005
KELMOORE INVESTMENT COMPANY, INC.
January 1, 1999 - December 1, 1999
B. C. ZIEGLER AND COMPANY
June 26, 1991 - January 1, 1999
GS2 SECURITIES, INC.
September 4, 1990 - April 10, 1991
WELLS FARGO CLEARING SERVICES, LLC
November 13, 1989 - September 4, 1990
LOVETT UNDERWOOD NEUHAUS & WEBB, INC.
July 6, 1987 - November 13, 1989
UNDERWOOD, NEUHAUS & CO., INCORPORATED
July 26, 1984 - July 10, 1987
GS2 SECURITIES, INC.
Primary Firm SEC Registration
STERNECK CAPITAL MANAGEMENT LLC
CRD#: 111463 / SEC#: 801-45256
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
STERNECK CAPITAL MANAGEMENT LLC
CRD#: 111463 / SEC#: 801-45256
Contact information
SEC notice filing (9 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 638 |
| AUM (Assets Under Management) | $ 277,853,450 |
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.
