RC
Richard J. Carlesco
IBN FINANCIAL SERVICES
Liverpool, NY 13088
Some features on this profile are disabled
CRD#: 2135988
RC
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 and CAMBRIDGE INVESTMENT RESEARCH ADVISORS, 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 Series 26 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Richard James Jr Carlesco
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.
1. VICTORY FOR VETS, INC., 404 Old Liverpool Rd, Liverpool NY 13088, 01/2014, Board Member, Volunteer, NIR, 4 HR/MO, 0 HR/MO TRADING. 2. CIRA, 1776 PLEASANT PLAIN RD, FAIRFIELD, 4/2025, IA, AS ADVISORY REP OF A RIA, INV REL, 160 HR/MO - 120 HR/MO TRADING.
CRS (Client Relationship Summary) - RIA
Click below to view Richard James Carlesco JR'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
November 6, 2020 - Present
IBN FINANCIAL SERVICES, INC.
Office #1: 404 Old Liverpool Rd, Liverpool, NY 13088Office #2: 404 Old Liverpool Rd, Liverpool, NY 13088RIA
BD
CRD#: 42360
Liverpool, NY
Current
April 29, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
Office #1: 404 Old Liverpool Road, Liverpool, NY 13088RIA
CRD#: 134139
Liverpool, NY
Current
October 24, 2000 - Present
IBN FINANCIAL SERVICES, INC.
Office #1: 404 Old Liverpool Rd, Liverpool, NY 13088Office #2: 404 Old Liverpool Rd, Liverpool, NY 13088RIA
BD
CRD#: 42360
Liverpool, NY
Current
April 29, 2025 - Present
CAMBRIDGE INVESTMENT RESEARCH, INC.
Office #1: 404 Old Liverpool Road, Liverpool, NY 13088BD
CRD#: 39543
Liverpool, NY
Past
January 2, 2014 - December 31, 2019
IBN FINANCIAL SERVICES, INC.
RIA
CRD#: 42360
ELMIRA, NY
Past
February 1, 1996 - August 25, 2000
LEIGH BALDWIN & CO., LLC
BD
CRD#: 38751
CAZENOVIA, NY
Past
August 30, 1994 - August 16, 1995
IFMG SECURITIES, INC.
BD
CRD#: 14416
PURCHASE, NY
Past
April 3, 1991 - December 10, 1993
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA
BD
CRD#: 680
NEWARK, NJ
Past
April 3, 1991 - August 31, 1994
PRUCO SECURITIES, LLC.
BD
CRD#: 5685
NEWARK, NJ
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".
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 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
Illinois(3/27/2014)
RR
Indiana(10/3/2017)
RR
Maryland(4/15/2013)
RR
Massachusetts(4/24/2008)
RR
Montana(5/27/2025)
RR
New Hampshire(3/3/2014)
RR
New York(11/16/2000)
IAR
New York(2/10/2022)
RR
Ohio(1/16/2007)
IAR
Pennsylvania(11/6/2020)
RR
Vermont(4/1/2024)
RR
Virginia(3/11/2014)
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
General Industry/Product Exam
RR
Series 62
Date: 1/10/2007
Corporate Securities Limited Representative ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 28
Date: 2/14/2001
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
CI
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
AXIOM WEALTH PARTNERS | WITS FINANCIAL | WHITE & ASSOCIATES | THE AMERIFLEX GROUP (TAG) | TAG WEALTH | TAG ADVISORS | TAG | SUNRIZE RETIREMENT & FINANCIAL SERVICES | SUMMIT FINANCIAL SOLUTIONS | SUMMIT FINANCIAL & INSURANCE SERVICES LLC | SUMMIT FINANCIAL & INSURANCE SERVICES | STATELINE WEALTH ADVISORS | RIPCORD WEALTH | RIPCORD PARTNERS | PREFERRED PARTNERS | PIVOTAL FINANCIAL ADVISORS LLC | PARTNERS IN PLANNING, LLC | PARAGON FINANCIAL, LLC | JORDAN CREEK FINANCIAL SOLUTIONS | GATEWAY NW WEALTH ADVISORS | GATEWAY FINANCIAL SERVICES, INC | GATEWAY FINANCIAL ADVISORS, LLC | GATEWAY FINANCIAL ADVISORS | FINANCIAL INDEPENDENCE WEALTH MANAGEMENT, LLC | DUNCAN FINANCIAL GROUP, INC | DUNCAN FINANCIAL GROUP LLC | DUNCAN FINANCIAL GROUP | DUNCAN ADVISOR RESOURCES | CORE NORTH CAPITAL PLANNING | CANTELLA CAPITAL GROUP LLC | CANTELLA | CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC. | CAMBRIDGE | AXIOM WEALTH PARTNERS, LLC
CRD#: 134139 / SEC#: 801-63930
RIA
Registered Investment Advisory firm - (2/3/2005 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
1776 Pleasant Plain Rd., Fairfield, IA 52556-8757
Mailing Address
Phone number
(641) 472-5100
Established
Firm type
Fiscal year end
# of Employees
3,361
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 438,414 |
| AUM (Assets Under Management) | $ 102,413,096,032 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/09/2024 | ||
| 04/29/2024 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
Company Information
CAMBRIDGE INVESTMENT RESEARCH ADVISORS, INC.
CRD#: 134139Liverpool, NY 13088TRUST BUT VERIFY
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