Richard A. Luci
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 Angelo Luci SR, who also goes by Dick Luci Sr, Richard Angelo Sr Luci, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1993. Richard had worked at 5 firms and has passed the Series 63, SIE, Series 7, Series 6 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 16, 2016 - July 31, 2020
CADARET, GRANT & CO., INC.
December 2, 1996 - September 21, 2016
PRINCIPAL SECURITIES, INC.
January 2, 1996 - December 3, 1996
PMG SECURITIES CORPORATION
January 24, 1994 - December 31, 1995
CADARET, GRANT & CO., INC.
July 1, 1993 - February 2, 1994
ROBERT W. BAIRD & CO. INCORPORATED
July 1, 1993 - February 2, 1994
NORTHWESTERN MUTUAL INVESTMENT SERVICES, 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
Current Firm
CADARET, GRANT & CO., INC.
CRD#: 10641 / SEC#: 801-42709, 8-27844
Contact information
Regulatory assets under management
| Total Number of Accounts | 25,442 |
| AUM (Assets Under Management) | $ 7,671,069,034 |
Disclosures
| Regulatory Event | 17 |
| Arbitration | 4 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/14/2024 | ||
| 01/10/2024 |
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.
