RF
Richard W. Flecca
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT
ORLANDO, FL
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CRD#: 2719482
RF
Professional summary
Richard Warren Flecca is a registered financial advisor currently at INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC located in Orlando, Florida and INTERNATIONAL ASSETS ADVISORY, LLC located in Winter Park, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1996. Richard has worked at 10 firms and has passed the Series 65, Series 63, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT LLC 111 N ORANGE AVE STE 1000 ORLANDO, FL 32801 - RIA AFFILIATE OF INTERNATIONAL ASSETS ADVISORS - ADVISOR SINCE 09/2024 - APPROX 40 HRS/MO - FEE BASED COMPENSATION
CRS (Client Relationship Summary) - RIA
Click below to view Richard Warren Flecca'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
December 6, 2019 - Present
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
RIA
CRD#: 144426
ORLANDO, FL
Current
November 27, 2019 - Present
INTERNATIONAL ASSETS ADVISORY, LLC
RIA
BD
CRD#: 10645
Winter Park, FL
Past
February 1, 2019 - December 12, 2019
CETERA ADVISORS LLC
RIA
CRD#: 10299
MAITLAND, FL
Past
February 1, 2019 - December 12, 2019
CETERA ADVISORS LLC
BD
CRD#: 10299
MAITLAND, FL
Past
January 4, 2016 - February 27, 2019
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
CASSELBERRY, FL
Past
January 4, 2016 - February 27, 2019
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
CASSELBERRY, FL
Past
July 2, 2012 - January 14, 2016
LPL FINANCIAL LLC
BD
CRD#: 6413
ORLANDO, FL
Past
June 29, 2012 - January 14, 2016
LPL FINANCIAL LLC
RIA
CRD#: 6413
ORLANDO, FL
Past
November 12, 2008 - July 6, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
ORLANDO, FL
Past
November 7, 2008 - July 6, 2012
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
ORLANDO, FL
Past
September 11, 2006 - November 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
RIA
CRD#: 7691
ORLANDO, FL
Past
September 8, 2006 - November 11, 2008
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
ORLANDO, FL
Past
July 12, 2004 - September 22, 2006
MORGAN STANLEY DW INC.
RIA
CRD#: 7556
ORLANDO, FL
Past
July 9, 2004 - September 22, 2006
MORGAN STANLEY DW INC.
BD
CRD#: 7556
ORLANDO, FL
Past
November 14, 2003 - July 13, 2004
A. G. EDWARDS & SONS, INC.
RIA
CRD#: 4
LAKE MARY, FL
Past
July 26, 2002 - July 13, 2004
A. G. EDWARDS & SONS, INC.
BD
CRD#: 4
ST. LOUIS, MO
Past
December 20, 2000 - August 12, 2002
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
NEW YORK, NY
Past
September 11, 2000 - August 12, 2002
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
June 5, 1996 - September 12, 2000
PRUDENTIAL EQUITY GROUP, LLC
BD
CRD#: 7471
NEW YORK, NY
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".
IA
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
A. JOSEPH MARGOLIS LLC | WOODS ASSOCIATES | WINN PARTNERS FINANCIAL GROUP | W.J. CONN CAPITAL | VITAL GUIDANCE INC. | VERMONT WEALTH MANAGEMENT | UNITED WEALTH MANAGEMENT | TOUSSAINT FINANCIAL | THE FINANCIAL NETWORK | T. SPENCER SAMUELS INSURANCE & FINANCIAL SVCS. | SULLIVAN WEALTH STRATEGIES | STERLING NOBLE WEALTH MANAGEMENT | STEED WEALTH MANAGEMENT, LLC | SPENCER SAMUELS INSURANCE & FINANCIAL SERVICES | SHILLIN WEALTH MANAGEMENT | SEASIDE WEALTH MANAGEMENT, LLC | ROCKPORT GLOBAL LLC | ROCKBRIDGE WEALTH MANAGEMENT | RISING SUN WEALTH MANAGEMENT | RICH WEALTH MANAGEMENT | REVOLUTION ADVISOR, LLC | RAPPAPORT WEALTH MANAGEMENT | RAND GROUP FINANCIAL | POTOCSNY FINANCIAL GROUP | PORTER-RAY GROUP | PLATINUM INVESTMENTS, LLC | PATHLIGHT INVESTING | O'NEIL WEALTH SERVICES, LLC | NOLA FINANCIAL WEALTH MANAGEMENT | NICHOLS FINANCIAL GROUP, INC | NELSON FINANCIAL SERVICES | MOUNTAIN PEAK FINANCIAL SOLUTIONS | MONARCH RETIREMENT | MONARCH ADVISORY SERVICES FINANCIAL, LLC | MIDWEST FINANCIAL MANAGEMENT | MCW WEALTH MANAGEMENT | MADDOX INVESTMENT SERVICES | MACEDON FINANCIAL MANAGEMENT, LLC | LR VASSALLO & ASSOC | LOYAL TRUST PRIVATE WEALTH | LINDBLOOM INVESTMENT SERVICES, LLC | LEGACY PARK WEALTH | KNAPP FINANCIAL GROUP LLC | KEYARX GROUP | JANSEN WEALTH MANAGEMENT, LLC | JAMES E. BASHAW & CO | JAG SHORE ENTERPRISES | INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | INTEGRAL WEALTH PLANNING, LLC | INTEGRAL WEALTH PLANNING LLC | INSIGHT PRIVATE WEALTH | IAA WEALTH MANAGEMENT | HUSTAD WEALTH MANAGEMENT | HELIOS CAPITAL ADVISORS, LLC | HARRISON FINANCIAL MANAGEMENT, LLC | HALL WEALTH ADVISORS | GULF COAST WEALTH ADVISORS | GRANITE WEALTH MANAGEMENT | GPS WEALTH MANAGEMENT | GOLD LEAF INVESTMENTS | GLOBULL INVESTMENTS | G2 RAMPART CONSULTING, LLC | FYLLING WEALTH MANAGEMENT, LLC | FULCRUM PONT FIXED INCOME GROUP | FINANCIAL ADVANTAGE WEALTH MANAGEMENT | FFS ADVISORY | EPSTEIN & KOLACZ WEALTH MANAGEMENT | EMPOWER BROKERAGE INC. | ELEVATE PRIVATE WEALTH GROUP, LLC | ECL PRIVATE WEALTH MANAGEMENT | DPR WEALTH MANAGEMENT | DIXON FINANCIAL PARTNERS | DENISON FINANCIAL | DANTAS ADVISORY | CONFIDENT TRUST FINANCIAL GROUP | CHOICE FINANCIAL SERVICES | C A ROSS WEALTH MANAGEMENT GROUP | BYRER WEALTH MANAGEMENT, LLC | BUTCHER FINANCIAL, LLC | BURGESSER WEALTH MANAGEMENT, INC | BRIN FINANCIAL | BOURQUE WEALTH SOLUTIONS, LLC | BLACOR USA | BECKERMAN & ASSOCIATES, LLC | ATX FINANCIAL | ATLANTIC WEALTH MANAGEMENT, INC. | ARTHUR MORRIS LIFESTYLE WEALTH MANAGEMENT, LLC | ARROW ADVISORS | AMERICAN RETIREMENT SOLUTIONS OF GEORGIA | AINE PRIVATE WEALTH, LLC | AFACAN WEALTH MANAGEMENT
CRD#: 144426 / SEC#: 801-68114
RIA
Registered Investment Advisory firm - (7/5/2007 Approved)New Jersey
Registered Investment Advisory firm - (9/7/2010 Terminated)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
Arizona(12/12/2019)
IAR
Florida(12/6/2019)
RR
Florida(12/11/2019)
RR
New York(12/12/2019)
RR
Texas(12/20/2019)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
IA
INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC
A. JOSEPH MARGOLIS LLC | WOODS ASSOCIATES | WINN PARTNERS FINANCIAL GROUP | W.J. CONN CAPITAL | VITAL GUIDANCE INC. | VERMONT WEALTH MANAGEMENT | UNITED WEALTH MANAGEMENT | TOUSSAINT FINANCIAL | THE FINANCIAL NETWORK | T. SPENCER SAMUELS INSURANCE & FINANCIAL SVCS. | SULLIVAN WEALTH STRATEGIES | STERLING NOBLE WEALTH MANAGEMENT | STEED WEALTH MANAGEMENT, LLC | SPENCER SAMUELS INSURANCE & FINANCIAL SERVICES | SHILLIN WEALTH MANAGEMENT | SEASIDE WEALTH MANAGEMENT, LLC | ROCKPORT GLOBAL LLC | ROCKBRIDGE WEALTH MANAGEMENT | RISING SUN WEALTH MANAGEMENT | RICH WEALTH MANAGEMENT | REVOLUTION ADVISOR, LLC | RAPPAPORT WEALTH MANAGEMENT | RAND GROUP FINANCIAL | POTOCSNY FINANCIAL GROUP | PORTER-RAY GROUP | PLATINUM INVESTMENTS, LLC | PATHLIGHT INVESTING | O'NEIL WEALTH SERVICES, LLC | NOLA FINANCIAL WEALTH MANAGEMENT | NICHOLS FINANCIAL GROUP, INC | NELSON FINANCIAL SERVICES | MOUNTAIN PEAK FINANCIAL SOLUTIONS | MONARCH RETIREMENT | MONARCH ADVISORY SERVICES FINANCIAL, LLC | MIDWEST FINANCIAL MANAGEMENT | MCW WEALTH MANAGEMENT | MADDOX INVESTMENT SERVICES | MACEDON FINANCIAL MANAGEMENT, LLC | LR VASSALLO & ASSOC | LOYAL TRUST PRIVATE WEALTH | LINDBLOOM INVESTMENT SERVICES, LLC | LEGACY PARK WEALTH | KNAPP FINANCIAL GROUP LLC | KEYARX GROUP | JANSEN WEALTH MANAGEMENT, LLC | JAMES E. BASHAW & CO | JAG SHORE ENTERPRISES | INTERNATIONAL ASSETS INVESTMENT MANAGEMENT, LLC | INTEGRAL WEALTH PLANNING, LLC | INTEGRAL WEALTH PLANNING LLC | INSIGHT PRIVATE WEALTH | IAA WEALTH MANAGEMENT | HUSTAD WEALTH MANAGEMENT | HELIOS CAPITAL ADVISORS, LLC | HARRISON FINANCIAL MANAGEMENT, LLC | HALL WEALTH ADVISORS | GULF COAST WEALTH ADVISORS | GRANITE WEALTH MANAGEMENT | GPS WEALTH MANAGEMENT | GOLD LEAF INVESTMENTS | GLOBULL INVESTMENTS | G2 RAMPART CONSULTING, LLC | FYLLING WEALTH MANAGEMENT, LLC | FULCRUM PONT FIXED INCOME GROUP | FINANCIAL ADVANTAGE WEALTH MANAGEMENT | FFS ADVISORY | EPSTEIN & KOLACZ WEALTH MANAGEMENT | EMPOWER BROKERAGE INC. | ELEVATE PRIVATE WEALTH GROUP, LLC | ECL PRIVATE WEALTH MANAGEMENT | DPR WEALTH MANAGEMENT | DIXON FINANCIAL PARTNERS | DENISON FINANCIAL | DANTAS ADVISORY | CONFIDENT TRUST FINANCIAL GROUP | CHOICE FINANCIAL SERVICES | C A ROSS WEALTH MANAGEMENT GROUP | BYRER WEALTH MANAGEMENT, LLC | BUTCHER FINANCIAL, LLC | BURGESSER WEALTH MANAGEMENT, INC | BRIN FINANCIAL | BOURQUE WEALTH SOLUTIONS, LLC | BLACOR USA | BECKERMAN & ASSOCIATES, LLC | ATX FINANCIAL | ATLANTIC WEALTH MANAGEMENT, INC. | ARTHUR MORRIS LIFESTYLE WEALTH MANAGEMENT, LLC | ARROW ADVISORS | AMERICAN RETIREMENT SOLUTIONS OF GEORGIA | AINE PRIVATE WEALTH, LLC | AFACAN WEALTH MANAGEMENT
CRD#: 144426 / SEC#: 801-68114
RIA
Registered Investment Advisory firm - (7/5/2007 Approved)New Jersey
Registered Investment Advisory firm - (9/7/2010 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
111 North Orange Avenue Suite 1000, Orlando, FL 32801
Mailing Address
Phone number
(407) 254-1500
Established
Firm type
Fiscal year end
# of Employees
128
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 8,359 |
| AUM (Assets Under Management) | $ 2,212,521,886 |
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.
