AdvisorCheck - Find and Connect with Top Financial Advisors on Your Terms
Advisor Search
Why AdvisorCheck

We're Here To Help

AdvisorCheck empowers you to find, evaluate, and monitor financial advisors with confidence and clarity.

Advisor Monitoring

Financial advisor's situations can change, sometimes without notice. AdvisorCheck's Monitoring tool helps you avoid surprises and stay on top of your financial health.

Firm Stability Insights

The stability of your financial advisor's firm has a significant impact in the security and quality of service you receive. Our tool provides historical data and key insights over time to help you make informed, confident decisions.

Pricing
For Advisors
RS

Richard S. Sansaricq

Some features on this profile are disabled
CRD#: 1438343
RS

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 Serge Sansaricq was a registered financial professional .

Richard is a previously registered financial professional and started their career in finance in 1991. Richard had worked at 9 firms and has passed the Series 63, Series 7TO, SIE, Series 7, Series 23, Series 9 and Series 10 exams.

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

January 28, 2019 - May 16, 2022

ACS EXECUTION SERVICES, LLC

BD
CRD#: 17972
RED BANK, NJ
Past

February 29, 2016 - December 16, 2016

ACS EXECUTION SERVICES, LLC

BD
CRD#: 17972
RED BANK, NJ
Past

November 18, 2013 - February 23, 2016

ESSEX RADEZ LLC

BD
CRD#: 34649
Red Bank, NJ
Past

June 16, 2010 - March 27, 2012

MACQUARIE CAPITAL (USA) INC.

BD
CRD#: 36368
NEW YORK, NY
Past

July 6, 2009 - May 10, 2010

FOX RIVER EXECUTION TECHNOLOGY, LLC

BD
CRD#: 133549
NEW YORK, NY
Past

October 8, 2008 - May 7, 2009

BNP PARIBAS PRIME BROKERAGE, INC.

BD
CRD#: 24962
NEW YORK, NY
Past

May 10, 2006 - May 7, 2009

BNP PARIBAS SECURITIES CORP.

BD
CRD#: 15794
NEW YORK, NY
Past

July 8, 2005 - May 12, 2006

ABBEY NATIONAL SECURITIES INC.

BD
CRD#: 112219
STAMFORD, CT
Past

March 25, 1997 - June 4, 2004

CREDIT SUISSE SECURITIES (USA) LLC

BD
CRD#: 816
NEW YORK, NY
Past

July 31, 1991 - March 15, 1996

LEHMAN BROTHERS INC.

BD
CRD#: 7506
NEW YORK, NY

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

State Security Law Exam
RR
Series 63
Date: 8/19/1991
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 1/2/2023
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 12/16/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 7/29/1991
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 23
Date: 11/29/2011
General Securities Principal Sales Supervisor
Principal/Supervisory Exam
RR
Series 9
Date: 10/14/2003
General Securities Sales Supervisor - Options Module Examination
Principal/Supervisory Exam
RR
Series 10
Date: 9/5/2003
General Securities Sales Supervisor - General Module Examination

Current Firm

AE
ACS EXECUTION SERVICES, LLC
ACS EXECUTION SERVICES, LLC | SOLOWEY & CO.

CRD#: 17972 / SEC#: , 8-36005

BD
Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address
12 Broad Street 2nd Floor, Red Bank, NJ 07701
Mailing Address
12 Broad Street 2nd Floor, Red Bank, NJ 07701
Phone number
(732) 204-8999
Established
Delaware since 11/13/2015
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (3 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Direct owners and executive officers

NamePositionCRD#
ACS GLOBAL HOLDINGS, LLCSOLE MEMBER
DEROLF, MARK KENNETHCHIEF COMPLIANCE OFFICER1924355
LANG, TIMOTHY JUDECHIEF EXECUTIVE OFFICER & EXECUTIVE REP.1109356
MURPHY, KRISTENCHIEF FINANCIAL OFFICER & FINOP2287252

Disclosures

Regulatory Event3

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

ACS EXECUTION SERVICES, LLC

CRD#: 17972

TRUST BUT VERIFY

Monitor Richard Sansaricq

Get automatic monthly alerts on:
Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates

Similar Advisors

Stephen Albert Zahka
Stephen ZahkaAdvisorCheck Check Mark
EDWARD JONES
IAR
RR
Marlborough, MA
Frank Horace Moore III
Frank MooreAdvisorCheck Check Mark
UBS FINANCIAL SERVICES INC.
IAR
RR
Greenwich, CT
Marshall Lee Rosen
Marshall RosenAdvisorCheck Check Mark
OSAIC WEALTH, INC.
IAR
RR
Fort Lauderdale, FL
footer-logo
How We Help
Advisor Search
Find Advisors by State
Blog
Glossary
For Advisors
About Us
Help Center
Terms Of UsePrivacy PolicySubscription Policy
Help Center
AdvisorCheck does not offer investment advice and should not replace discussions with professional accounting, tax, legal or financial advisors.© 2026 AdvisorCheck, an AIMR Analytics company. All rights reserved.