Richard J. Feola
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 Feola, who also goes by Rich Feola, Richard Feola, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2015. Richard had worked at 4 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 19, 2018 - February 26, 2019
MODERN CAPITAL ADVISORS, LLC
March 6, 2017 - January 3, 2018
AE WEALTH MANAGEMENT, LLC
November 10, 2015 - March 3, 2017
GLOBAL FINANCIAL PRIVATE CAPITAL, INC.
July 7, 2015 - October 30, 2015
EQUITABLE ADVISORS, LLC
May 15, 2015 - October 30, 2015
EQUITABLE ADVISORS, LLC
Primary Firm SEC Registration
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117 / SEC#: 801-72611
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
MODERN CAPITAL ADVISORS, LLC
CRD#: 131117 / SEC#: 801-72611
Contact information
SEC notice filing (37 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,561 |
| AUM (Assets Under Management) | $ 285,401,221 |
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.
