Richard J. Lucido
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 Joseph Lucido, who also goes by Richard Lucido, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1998. Richard had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 21, 2013 - March 31, 2016
CORNERSTONE WEALTH MANAGEMENT, LLC
August 20, 2013 - April 20, 2016
LPL FINANCIAL LLC
December 6, 2010 - August 20, 2013
SWBC INVESTMENT COMPANY
November 29, 2010 - August 20, 2013
SWBC INVESTMENT SERVICES, LLC
February 9, 2009 - November 24, 2010
U.S. BANCORP INVESTMENTS, INC.
February 9, 2009 - November 24, 2010
U.S. BANCORP INVESTMENTS, INC.
July 28, 2004 - February 12, 2009
MORGAN KEEGAN & COMPANY, LLC
July 28, 2004 - February 12, 2009
MORGAN KEEGAN & COMPANY, LLC
May 31, 2001 - August 6, 2004
UNION PLANTERS INVESTMENT ADVISORS, INC.
October 10, 2000 - August 5, 2004
PFIC SECURITIES CORPORATION
May 2, 2000 - October 3, 2000
INVESTORS CAPITAL CORP.
September 8, 1998 - January 5, 2000
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
September 8, 1998 - May 19, 2000
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
CORNERSTONE WEALTH MANAGEMENT, LLC
CRD#: 164666 / SEC#: 801-76973
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
CORNERSTONE WEALTH MANAGEMENT, LLC
CRD#: 164666 / SEC#: 801-76973
Contact information
SEC notice filing (43 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 18,813 |
| AUM (Assets Under Management) | $ 4,082,513,557 |
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.
