Richard M. Feraulo
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 Michael Feraulo, who also goes by Richard Michael Feraulo, Richard Feraulo, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1990. Richard had worked at 12 firms and has passed the Series 66, Series 63, Series 65, Series 6TO, SIE, Series 7, Series 31 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 18, 2022 - January 10, 2023
FIDELITY PERSONAL AND WORKPLACE ADVISORS
January 31, 2022 - January 4, 2023
FIDELITY BROKERAGE SERVICES LLC
November 15, 2018 - September 17, 2020
ALLSTATE FINANCIAL SERVICES, LLC
May 16, 2005 - July 3, 2006
IDS LIFE INSURANCE COMPANY
May 16, 2005 - July 30, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
May 12, 2005 - July 30, 2018
AMERIPRISE FINANCIAL SERVICES, LLC
September 9, 2004 - March 9, 2005
METROPOLITAN LIFE INSURANCE COMPANY
September 9, 2004 - March 9, 2005
MSI FINANCIAL SERVICES, INC.
May 24, 2001 - September 23, 2004
IDS LIFE INSURANCE COMPANY
May 24, 2001 - September 23, 2004
AMERIPRISE FINANCIAL SERVICES, LLC
September 27, 1995 - August 14, 1996
COMMONWEALTH FINANCIAL NETWORK
January 6, 1994 - June 8, 1995
MORGAN STANLEY DW INC.
May 29, 1991 - February 15, 1994
GUARDIAN INVESTOR SERVICES LLC
July 3, 1990 - April 26, 1991
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
July 3, 1990 - April 26, 1991
EQUITABLE ADVISORS, LLC
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
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative ExaminationCurrent Firm
FIDELITY PERSONAL AND WORKPLACE ADVISORS
CRD#: 288590 / SEC#: 801-112027
Contact information
Documents
Regulatory assets under management
| Total Number of Accounts | 1,991,043 |
| AUM (Assets Under Management) | $ 818,776,100,963 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 08/22/2024 | ||
| 10/23/2023 | ||
| 01/06/2023 |
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.
