Richard F. Larocque
Professional summary
Richard Francis Larocque, who also goes by Richard F Larocque, is a registered financial professional currently at ULLICO INVESTMENT COMPANY, LLC located in Washington, District Of Columbia.
Richard is registered as a RR (Registered Representative) and started their career in finance in 1998. Richard has worked at 4 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 6, Series 14, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Richard Francis Larocque's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 12, 2008 - Present
ULLICO INVESTMENT COMPANY, LLC
Office #1: 1625 Eye Street, Nw, Washington, DC 20006Office #2: 8403 Colesville Rd. 13th Floor, Silver Spring, MD 20910Office #3: 8403 Colesville Rd. 13 Floor, Silver Spring, MD 20910July 1, 2005 - August 29, 2008
CLARENDON INSURANCE AGENCY, INC.
August 8, 2001 - August 29, 2008
SUN LIFE FINANCIAL DISTRIBUTORS, INC.
August 27, 1998 - June 1, 2001
SIGNATOR INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(9/19/2008)
(5/13/2014)
(9/19/2008)
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationFINRA
Current Firm
ULLICO INVESTMENT COMPANY, LLC
CRD#: 135195 / SEC#: , 8-66906
Contact information
FINRA licenses (8 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ULLICO INC. | SOLE SHAREHOLDER | |
| HUMPHREY, CATHY ANN | CHIEF OPERATIONS OFFICER | 4899999 |
| HUMPHREY, CATHY ANN | DIRECTOR | 4899999 |
| LAROCQUE, RICHARD FRANCIS | CHIEF COMPLIANCE OFFICER, GEN. SEC. PRINC | 2874559 |
| LINEHAN, JOSEPH RICHARD | GEN. SEC. PRINC.; AND PRESIDENT | 4951041 |
| LINEHAN, JOSEPH RICHARD | DIRECTOR | |
| YU, YINAN | CORPORATE SECRETARY, CFO, FINOP, TREASURER, DIRECTOR | 7787306 |
Red Flags
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