Richard R. Defelice
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 Raymond Defelice, who also goes by Richard R Defelice, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1974. Richard had worked at 13 firms and has passed the Series 65, Series 63, Series 7TO, SIE, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 12, 2011 - December 31, 2023
WORLD INVESTMENTS, LLC
May 7, 2010 - December 31, 2023
WORLD INVESTMENTS, LLC
August 9, 2004 - March 30, 2010
GUNNALLEN FINANCIAL, INC
August 9, 2004 - March 30, 2010
GUNNALLEN FINANCIAL, INC
October 8, 2001 - August 31, 2004
OBSIDIAN FINANCIAL GROUP, LLC
July 8, 2000 - October 9, 2001
OSAIC FS, INC.
February 1, 1999 - July 8, 2000
POLARIS FINANCIAL SERVICES, INC.
October 1, 1997 - February 4, 1999
AMERICAN GENERAL SECURITIES INCORPORATED
October 14, 1987 - April 16, 1990
GRANADA FINANCIAL SERVICES, INC.
December 4, 1986 - October 12, 1987
STERLING SECURITIES, INC.
March 1, 1985 - August 1, 1989
BRAUVIN SECURITIES, INC.
June 15, 1982 - February 8, 1985
B & D EQUITIES INC.
May 1, 1979 - October 1, 1997
USLIFE EQUITY SALES CORP.
June 16, 1977 - May 1, 1979
USLIFE EQUITY SALES CORP
April 10, 1974 - June 3, 1977
INTERGLOBAL 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
Exams
Series 7TO
Date: 1/2/2023
General Securities Representative ExaminationSeries 1
Date: 4/4/1974
Registered Representative ExaminationCurrent Firm
WORLD INVESTMENTS, LLC
CRD#: 20626 / SEC#: 801-56426, 8-38377
Contact information
FINRA licenses (52 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 4,697 |
| AUM (Assets Under Management) | $ 1,734,780,346 |
Disclosures
| Regulatory Event | 3 |
| Arbitration | 2 |
| Bond | 1 |
Red Flags
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