Richard M. Czerniak

PRINCE ASSET MANAGEMENT

SARASOTA, FL 34236

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CRD#: 2032774

Professional summary

Richard Michael Czerniak is a registered financial advisor currently at PRINCE ASSET MANAGEMENT, INC. located in Sarasota, Florida.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1990. Richard has worked at 4 firms and has passed the Series 65, Series 63 and Series 7 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Michael Czerniak's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 18, 1998 - Present

PRINCE ASSET MANAGEMENT, INC.

Office #1: 2033 Main Street Suite 303, Sarasota, FL 34236

RIA

CRD#: 141567

SARASOTA, FL

Past

July 12, 1993 - August 22, 1994

NATIONSSECURITIES

CRD#: 32542

Past

August 14, 1990 - July 12, 1993

MORGAN STANLEY DW INC.

CRD#: 7556

Past

March 20, 1990 - May 31, 1990

TAW SECURITIES, INC.

CRD#: 25189

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".

PRINCE ASSET MANAGEMENT, INC.

CRD#: 141567 / SEC#: 801-130425

RIA

Registered Investment Advisory firm - (6/5/2024 Approved)

Florida

Registered Investment Advisory firm - (6/18/2024 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Highlighted states indicate IAR registrations

IAR

Florida
(3/18/1998)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 3/2/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/10/1990

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 3/17/1990

General Securities Representative Examination

Current Firm

PRINCE ASSET MANAGEMENT, INC.

CRD#: 141567 / SEC#: 801-130425

RIA

Registered Investment Advisory firm - (6/5/2024 Approved)

Florida

Registered Investment Advisory firm - (6/18/2024 Terminated)

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Contact information

Main Address

2033 Main Street Suite 303, Sarasota, FL 34236

Mailing Address

Phone number

(941) 363-9090

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (1 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

PRINCE ASSET MANAGEMENT SEC BROCHURE (3/29/2025)

Regulatory assets under management

Total Number of Accounts	198
AUM (Assets Under Management)	$ 122,700,508

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Richard M. Czerniak

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Michael Czerniak's CRS (Customer Relationship Summary).

Certified licenses

Experience

PRINCE ASSET MANAGEMENT, INC.

NATIONSSECURITIES

MORGAN STANLEY DW INC.

TAW SECURITIES, INC.

Primary Firm SEC Registration

PRINCE ASSET MANAGEMENT, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 3/2/1998

Series 63

Date: 4/10/1990

Series 7

Date: 3/17/1990

Current Firm

PRINCE ASSET MANAGEMENT, INC.

Contact information

SEC notice filing (1 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

PRINCE ASSET MANAGEMENT, INC.

TRUST BUT VERIFY

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