Richard L. Sarro
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 Louis Sarro, who also goes by Ric Sarro, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1988. Richard had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 4, Series 53 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
August 8, 2019 - September 9, 2019
CONFIDENCE WEALTH MANAGEMENT, INC.
September 23, 2015 - March 22, 2019
LPL FINANCIAL LLC
September 23, 2015 - March 22, 2019
LPL FINANCIAL LLC
August 14, 2014 - August 11, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
August 8, 2014 - August 11, 2015
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - April 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 23, 2009 - April 2, 2013
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 15, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
September 9, 2008 - October 23, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 17, 2006 - November 30, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 17, 2006 - November 30, 2006
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 12, 1999 - November 11, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 1, 1998 - November 11, 2004
BANC OF AMERICA INVESTMENT SERVICES, INC.
July 1, 1998 - July 12, 1999
BA INVESTMENT SERVICES, INC.
December 21, 1992 - July 1, 1998
SEAFIRST INVESTMENT SERVICES, INC.
March 7, 1991 - December 22, 1992
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
February 26, 1991 - November 20, 1992
KFS BD, INC.
September 28, 1988 - February 4, 1991
RCL NORTHWEST, INC.
April 11, 1988 - October 17, 1988
LEHMAN BROTHERS INC.
January 20, 1988 - April 11, 1988
E. F. HUTTON & COMPANY INC
Primary Firm SEC Registration
CONFIDENCE WEALTH MANAGEMENT, INC.
CRD#: 127383 / SEC#: 801-122368
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
CONFIDENCE WEALTH MANAGEMENT, INC.
CRD#: 127383 / SEC#: 801-122368
Contact information
SEC notice filing (14 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,843 |
| AUM (Assets Under Management) | $ 344,241,463 |
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.
