Richard A. Floreani
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 Arthur Floreani, who also goes by Richard Arthur Floreani Richa, Rick Arthur Floreani, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1996. Richard had worked at 2 firms and has passed the Series 65, Series 63 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2010 - December 1, 2020
CARLISLE TAX CREDIT ADVISORS
March 22, 1996 - December 4, 1996
AI SECURITIES,INC.
Primary Firm SEC Registration
CARLISLE TAX CREDIT ADVISORS
CRD#: 151461 / SEC#: 801-77655
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
CARLISLE TAX CREDIT ADVISORS
CRD#: 151461 / SEC#: 801-77655
Contact information
SEC notice filing (3 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 7 |
| AUM (Assets Under Management) | $ 498,102,003 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 02/15/2024 | ||
| 01/23/2024 | ||
| 05/02/2022 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
