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Raymond Joseph Sicard III

Raymond J. Sicard

FALCON WEALTH PLANNING
Weymouth, MA
Some features on this profile are disabled
CRD#: 4138600
Raymond Joseph Sicard III

Professional summary

Raymond Joseph Sicard III, CFP®, who also goes by Raymond J Sicard III, Raymond J Sicard, Raymond Joseph Sicard III, Raymond J Siccud, Raymond Joseph Sicard, is a registered financial advisor currently at FALCON WEALTH PLANNING, INC. located in Weymouth, Massachusetts.

Raymond is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2000. Raymond has worked at 6 firms and has passed the Series 66, Series 63, Series 7TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Raymond J Sicard Iii | Raymond J Sicard | Raymond Joseph Sicard Iii | Raymond J Siccud | Raymond Joseph Sicard

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.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Raymond Joseph Sicard III's CRS (Customer Relationship Summary).
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®
CFP®

Certified Financial Planner

Start date: 2006

Experience

Current

June 5, 2025 - Present

FALCON WEALTH PLANNING, INC.

RIA
CRD#: 174092
Weymouth, MA
Past

August 15, 2024 - January 9, 2025

LPL FINANCIAL LLC

BD
CRD#: 6413
NEEDHAM, MA
Past

January 23, 2022 - June 4, 2024

FACET

RIA
CRD#: 285961
Weymouth, MA
Past

October 30, 2018 - December 16, 2020

AMERIPRISE FINANCIAL SERVICES, LLC

BD
CRD#: 6363
Boston, MA
Past

February 1, 2016 - March 28, 2016

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
MERRIMACK, NH
Past

September 24, 2003 - July 17, 2006

FIDELITY DISTRIBUTORS COMPANY LLC

BD
CRD#: 17507
SMITHFIELD, RI
Past

November 24, 2000 - September 17, 2003

FIDELITY BROKERAGE SERVICES LLC

BD
CRD#: 7784
SMITHFIELD, RI

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".
FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.

CRD#: 174092 / SEC#: 801-112659

RIA
Registered Investment Advisory firm - (3/19/2018 Approved)
California
Registered Investment Advisory firm - (5/5/2018 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.

Highlighted states indicate IAR registrations

IAR
California
(6/5/2025)
IAR
Massachusetts
(8/6/2025)
IAR
Texas
(6/5/2025)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 11/15/2024
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 11/14/2018
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7TO
Date: 3/13/2024
General Securities Representative Examination
General Industry/Product Exam
RR
SIE
Date: 3/28/2016
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 2/1/2016
General Securities Representative Examination

Current Firm

FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.
FALCON WEALTH PLANNING, INC.

CRD#: 174092 / SEC#: 801-112659

RIA
Registered Investment Advisory firm - (3/19/2018 Approved)
California
Registered Investment Advisory firm - (5/5/2018 Terminated)
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Contact information

Main Address
3400 Inland Empire Blvd. Suite 100, Ontario, CA 91764
Mailing Address
Phone number
(855) 963-2526
Established
Firm type
Fiscal year end
# of Employees
42

SEC notice filing (31 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A-FALCON WEALTH PLANNING, INC. (5/1/2025)

Regulatory assets under management

Total Number of Accounts3,575
AUM (Assets Under Management)$ 1,159,538,045

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.

Company Information

FALCON WEALTH PLANNING, INC.

FALCON WEALTH PLANNING, INC.

CRD#: 174092Weymouth, MA

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