Richard James Carlesco Jr
Professional Summary
Richard James Carlesco JR, who also goes by Richard James Jr Carlesco, is a registered financial advisor currently at IBN FINANCIAL SERVICES, INC. located in Liverpool, New York. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1991. Richard has worked at 7 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 62, Series 6, Series 24, Series 28 and...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard James Jr Carlesco
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Videos & Posts
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Contact Information
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
35 years in the financial services industry
Current & Past Employments
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Current Firm
IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.
Contact Information
Main Address
404 Old Liverpool Rd, Liverpool, NY 13088Mailing Address
P.o. Box 2365, Liverpool, NY 13089Phone Number
(315) 652-4426Established
New York since 12/15/1995Firm Type
CorporationFiscal Year End
DecemberFirm Size
Small# of Employees
52SEC notice filing (18 States and Territories)
Registered to provide investment advisory services in 18 US states and territories.
FINRA licenses (50 States and Territories)
Registered to provide investment advisory services in 18 US states and territories.
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory Assets Under Management
Total Number of Accounts
519AUM (Assets Under Management)
$87,653,250Disclosures
Regulatory Event
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
IBN FINANCIAL SERVICES, INC | M. ROBERT BURTON ASSOCIATES, INC. | IBN FINANCIAL SERVICES, INC.
State Registrations and Notice Filings
(3/27/2014)
(10/3/2017)
(4/15/2013)
(4/24/2008)
(5/27/2025)
(3/3/2014)
(11/16/2000)
(2/10/2022)
(1/16/2007)
(11/6/2020)
(4/1/2024)
(3/11/2014)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 62 — Corporate Securities Limited Representative Examination
Passed Jan 2007Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Apr 1991About the Series 6 examSeries 28 — Introducing Broker/Dealer Financial Operations Principal Examination
Passed Feb 2001About the Series 28 examSeries 26 — Investment Company Products/Variable Contracts Principal Examination
Passed Sep 1998About the Series 26 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Richard James Carlesco JR's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Richard James Carlesco JR's CRS (Customer Relationship Summary).
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