Richard A. Licini
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 Allen Licini Sr, who also goes by Dick Licini, Richard Allen Licini, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1972. Richard had worked at 10 firms and has passed the Series 63, Series 7TO, SIE and Series 1 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 23, 2023 - June 14, 2024
THE LEADERS GROUP, INC.
June 27, 2019 - May 19, 2023
THE LEADERS GROUP, INC.
November 2, 2018 - July 1, 2019
OSAIC WEALTH, INC.
August 31, 2005 - December 31, 2010
SIGNATOR INVESTORS, INC.
June 21, 2005 - November 2, 2018
SIGNATOR INVESTORS, INC.
July 7, 1999 - June 14, 2005
OSAIC FA, INC.
June 15, 1999 - June 14, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 15, 1999 - June 14, 2005
OSAIC FA, INC.
August 1, 1995 - December 17, 1998
VOYA FINANCIAL ADVISORS, INC.
March 13, 1995 - August 1, 1995
RELIASTAR FINANCIAL MARKETING CORP.
June 7, 1993 - June 17, 1999
JOHN HANCOCK DISTRIBUTORS LLC
January 7, 1975 - March 17, 1995
G. R. PHELPS & CO., INC.
May 26, 1972 - April 21, 1973
TOWER SQUARE SECURITIES, 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
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 5/20/1972
Registered Representative ExaminationCurrent Firm
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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