RS
Richard L. Solares
SISUNG INVESTMENT MANAGEMENT SERVICES LLC
METAIRIE, LA 70002
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CRD#: 2029652
RS
Professional summary
Richard Louis Solares is a registered financial advisor currently at SISUNG INVESTMENT MANAGEMENT SERVICES LLC located in Metairie, Louisiana and SISUNG SECURITIES CORPORATION located in Metairie, Louisiana.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1990. Richard has worked at 2 firms and has passed the Series 65, Series 63, Series 99TO, Series 57TO, Series 72, Series 52TO, Series 79TO, SIE, Series 55, Series 7, Series 24 and Series 53 exams.
Question & Answer
Are you a "fiduciary"?
Yes
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.
OFFICER OF SISUNG INVESTMENT MANAGEMENT SERVICES, LLC / INVESTMENT RELATED / 201 ST. CHARLES AVE., STE. 4240, NEW ORLEANS, LA 70170 / V.P. / 6/15/1995 / 20 HRS. / 20 HRS. / INVESTMENT ADVISORY, OPERATIONS, COMPLIANCE
CRS (Client Relationship Summary) - RIA
Click below to view Richard Louis Solares'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
May 12, 2011 - Present
SISUNG INVESTMENT MANAGEMENT SERVICES LLC
Office #1: 3850 N. Causeway Blvd. Suite 1930, Metairie, LA 70002RIA
CRD#: 107318
METAIRIE, LA
Current
January 24, 1990 - Present
SISUNG SECURITIES CORPORATION
Office #1: 3850 N. Causeway Blvd. Ste. 1930, Metairie, LA 70002Office #2: 3850 N. Causeway Blvd. Ste. 1930, Metairie, LA 70002BD
CRD#: 25752
Metairie, LA
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".
SI
SISUNG INVESTMENT MANAGEMENT SERVICES LLC
SIMS | SISUNG INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 107318 / SEC#: 801-49929
RIA
Registered Investment Advisory firm - (8/18/1995 Approved)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
Alabama(3/18/1998)
RR
California(8/1/2000)
RR
Colorado(7/24/2000)
RR
Florida(3/12/1996)
RR
Georgia(8/8/2000)
RR
Louisiana(1/24/1990)
IAR
Louisiana(5/12/2011)
RR
Mississippi(3/8/1996)
RR
Tennessee(2/1/2019)
RR
Texas(3/10/1993)
IAR
Texas(10/15/2012)
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
RR
Series 57TO
Date: 1/2/2023
Securities Trader ExamGeneral Industry/Product Exam
RR
Series 72
Date: 1/2/2023
Government Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
RR
Series 55
Date: 2/10/1999
Limited Representative-Equity Trader ExamGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
SI
SISUNG INVESTMENT MANAGEMENT SERVICES LLC
SIMS | SISUNG INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 107318 / SEC#: 801-49929
RIA
Registered Investment Advisory firm - (8/18/1995 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
3850 N. Causeway Blvd. Suite 1930, Metairie, LA 70002
Mailing Address
Phone number
(504) 544-7700
Established
Firm type
Fiscal year end
# of Employees
7
SEC notice filing (7 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 12 |
| AUM (Assets Under Management) | $ 1,953,375,257 |
Red Flags
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Company Information
SISUNG INVESTMENT MANAGEMENT SERVICES LLC
CRD#: 107318Metairie, LA 70002TRUST BUT VERIFY
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Contact information
xxxxx@xxxx.xxx
