Richard S. Schainker
Professional summary
Richard Sidney Schainker, CIMA®, who also goes by Rich Schainker, Richard Schainker, is a registered financial advisor currently at TOWERS WATSON INVESTMENT SERVICES, INC. located in San Mateo, California and FORESIDE FUND SERVICES, LLC located in Chicago, Illinois.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 12 firms and has passed the Series 66, Series 63, Series 79TO, Series 7TO, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Richard Sidney Schainker's CRS (Customer Relationship Summary).
Certified licenses
Experience
October 31, 2024 - Present
TOWERS WATSON INVESTMENT SERVICES, INC.
December 20, 2023 - Present
FORESIDE FUND SERVICES, LLC
Office #1: 233 South Wacker Drive Suite 1800, Chicago, IL 60606December 15, 2022 - September 18, 2023
KESTRA ADVISORY SERVICES, LLC
December 15, 2022 - September 18, 2023
KESTRA INVESTMENT SERVICES, LLC
May 17, 2022 - August 18, 2022
ABD RETIREMENT SERVICES, INC.
January 9, 2020 - April 30, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 9, 2020 - April 30, 2022
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
January 1, 2010 - December 2, 2019
INVESCO ADVISERS, INC.
April 27, 2006 - January 1, 2010
INVESCO AIM PRIVATE ASSET MANAGEMENT, INC.
March 28, 2001 - December 2, 2019
INVESCO DISTRIBUTORS, INC.
October 19, 1999 - March 27, 2001
JOHN HANCOCK INVESTMENT MANAGEMENT DISTRIBUTORS LLC
May 4, 1995 - May 19, 1997
MARSH & MCLENNAN SECURITIES CORPORATION
October 7, 1992 - May 19, 1993
T. ROWE PRICE INVESTMENT SERVICES, INC.
Primary Firm SEC Registration
TOWERS WATSON INVESTMENT SERVICES, INC.
CRD#: 110473 / SEC#: 801-46008
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(12/20/2023)
(10/31/2024)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 7TO
Date: 1/2/2023
General Securities Representative ExaminationFINRA
Current Firm
TOWERS WATSON INVESTMENT SERVICES, INC.
CRD#: 110473 / SEC#: 801-46008
Contact information
SEC notice filing (21 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 129 |
| AUM (Assets Under Management) | $ 52,220,039,039 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/31/2025 | ||
| 09/27/2024 | ||
| 08/28/2023 | ||
| 11/22/2022 |
Red Flags
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