RS
Richard W. Sowers
LIFEMARK SECURITIES
CLEARWATER, FL 33759
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CRD#: 1297275
RS
Professional summary
Richard Wendell Sowers, who also goes by Richard W Sowers, is a registered financial advisor currently at LIFEMARK SECURITIES CORP. located in Clearwater, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Richard has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 3, Series 7, Series 24 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard W Sowers
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.
VIP CAPITAL, INC., INVESTMENT RELATED, 2451 N. MCMULLEN BOOTH RD, SUITE 263, CLEARWATER, FL 33759, A LIFE INSURANCE, ANNUITY & LTCI MARKETING BROKERAGE FIRM, PRESIDENT & WRITING AGENT, BEGAN JUNE 1998,70 HRS/MO & 50 HRS/MO DURING TRADING HRS, DUTIES INCLUDE MARKETING PRODUCTS TO LIFE, HEALTH AND ANNUITY AGENTS IN ADDITION TO SELLING POLICIES DIRECTLY TO CLIENTS, PROVIDE ADMINISTRATIVE CLIENT SERVICES/NOTIFIED APRIL 13, 2010 THAT APPROVED ON MARCH 23, 2010 AS FINRA DISPUTE ARBITRATOR. LOCATION AND DURATION WILL VARY / CONSULTANT & EXPERT WITNESS FOR SECURITIES AND INSURANCE, NOT INVESTMENT RELATED, SAME ADDRESS AS ABOVE, BEGAN AVAILABILITY 5/2010, HOURS WILL VARY AS ONLY BY REQUEST.
CRS (Client Relationship Summary) - RIA
Click below to view Richard Wendell Sowers's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard Wendell Sowers's 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®
NoneExperience
Current
August 8, 2012 - Present
LIFEMARK SECURITIES CORP.
Office #1: 2451 Mcmullen Booth Road Suite 263, Clearwater, FL 33759RIA
BD
CRD#: 16204
CLEARWATER, FL
Current
March 3, 1995 - Present
LIFEMARK SECURITIES CORP.
Office #1: 2451 Mcmullen Booth Road Suite 263, Clearwater, FL 33759RIA
BD
CRD#: 16204
CLEARWATER, FL
Past
June 3, 1994 - March 7, 1995
TITAN/VALUE EQUITIES GROUP, INC.
BD
CRD#: 6359
IRVINE, CA
Past
November 10, 1992 - February 18, 1994
TRANSAMERICA FINANCIAL ADVISORS, LLC
BD
CRD#: 16164
PHILADELPHIA, PA
Past
July 11, 1991 - October 16, 1992
MERIDIAN, DUNHILL & CO., INC.
BD
CRD#: 15294
Past
August 19, 1986 - March 6, 1991
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
WEEHAWKEN, NJ
Past
October 7, 1985 - September 9, 1986
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
September 20, 1984 - October 17, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
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".
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Colorado(2/29/2012)
RR
Florida(3/3/1995)
IAR
Florida(8/8/2012)
RR
Georgia(1/3/2005)
RR
Indiana(5/13/2015)
RR
Kentucky(1/28/2022)
RR
New York(10/16/2003)
RR
North Carolina(1/13/2021)
RR
Texas(1/3/2025)
RR
Virginia(12/10/2007)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 12/22/1986
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
LS
LIFEMARK SECURITIES CORP.
LIFEMARK SECURITIES | PROCORP SECURITIES INCORPORATED | LIFEMARK SECURITIES CORP.
CRD#: 16204 / SEC#: 801-68438, 8-33478
RIA
Registered Investment Advisory firm - SEC (10/17/2007 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
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Contact information
Main Address
400 West Metro Park, Rochester, NY 14623
Mailing Address
400 West Metro Park, Rochester, NY 14623
Phone number
(585) 424-5672
Established
New York since 04/04/1983
Firm type
Corporation
Fiscal year end
December
Firm Size
Medium
# of Employees
88
SEC notice filing (46 States and Territories)
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KALINOWSKI, ANDREW JOSEPH | VP / BOARD MEMBER/SECRETARY | 263409 |
| MICCICHE, VINCENT JR | TREASURER/ FINOP/PFO/POO | 702149 |
| PRISCO, JAMES JOSEPH | CHIEF EXECUTIVE OFFICER/ CHIEF COMPLIANCE OFFICER | 2653402 |
| PRISCO, JAMES JOSEPH | PRESIDENT / BOARD MEMBER | 2653402 |
| GEORGIEV, ALEXANDRE JR. | CCO OF THE RIA / DIRECTOR OF OPERATIONS | 5307830 |
Regulatory assets under management
| Total Number of Accounts | 2,021 |
| AUM (Assets Under Management) | $ 461,475,636 |
Disclosures
| Regulatory Event | 2 |
| Arbitration | 3 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
LIFEMARK SECURITIES CORP.
CRD#: 16204Clearwater, FL 33759TRUST BUT VERIFY
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Contact information
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