Richard K. Mccormack

SCHOOL OF PERSONAL FINANCE

Yorktown Heigths, NY

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CRD#: 4575862

Professional summary

Richard Kevin Mccormack, CFP® is a registered financial advisor currently at SCHOOL OF PERSONAL FINANCE located in Yorktown Heigths, New York.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2002. Richard has worked at 4 firms and has passed the 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.

Sterling Property Enterprises, LLC - Rental Real Estate Business, 4 Meadowlark Drive Carmel, NY 10512 - Member since 05/2018 1 hour per month spent on reconciling financial transactions Individually Owned Rental Real Estate - Own rental properties in Missouri, Alabama and Tennessee since 3/2016 1 hour per month spent on reconciling financial transactions

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Kevin Mccormack'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®

CFP^®

Certified Financial Planner

Start date: 2012

Experience

Current

May 29, 2020 - Present

SCHOOL OF PERSONAL FINANCE

RIA

CRD#: 307332

Yorktown Heigths, NY

Past

March 25, 2017 - January 4, 2018

MML INVESTORS SERVICES, LLC

CRD#: 10409

ELMSFORD, NY

Past

July 9, 2009 - March 25, 2017

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ELMSFORD, NY

Past

October 21, 2005 - July 1, 2009

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

BRIARCLIFF MANOR, NY

Past

September 27, 2002 - March 10, 2005

WELLS FARGO CLEARING SERVICES, LLC

CRD#: 19616

ST. LOUIS, MO

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

New York
(8/23/2021)

IAR

Texas
(5/29/2020)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 11/13/2002

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 1/4/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/25/2001

General Securities Representative Examination

Current Firm

SCHOOL OF PERSONAL FINANCE

SCHOOL OF PERSONAL FINANCE | SCHOOL OF PERSONAL FINANCE, LLC

CRD#: 307332 / SEC#:

New York

Registered Investment Advisory firm - (2/13/2020 Approved)

Texas

Registered Investment Advisory firm - (5/28/2020 Conditional Restricted)

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Contact information

Main Address

Yorktown Heights, NY

Mailing Address

Phone number

(914) 860-3615

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	72
AUM (Assets Under Management)	$ 20,434,261

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.

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Richard K. Mccormack

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard Kevin Mccormack's CRS (Customer Relationship Summary).

Certified licenses

Experience

SCHOOL OF PERSONAL FINANCE

MML INVESTORS SERVICES, LLC

MSI FINANCIAL SERVICES, INC.

WELLS FARGO CLEARING SERVICES, LLC

WELLS FARGO CLEARING SERVICES, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/13/2002

SIE

Date: 1/4/2018

Series 7

Date: 4/25/2001

Current Firm

SCHOOL OF PERSONAL FINANCE

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

SCHOOL OF PERSONAL FINANCE

TRUST BUT VERIFY

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