Richard C. Schiller

PAVLIC INVESTMENT ADVISORS

Delafield, WI 53018

Some features on this profile are disabled

CRD#: 6478044

Professional summary

Richard C Schiller is a registered financial advisor currently at PAVLIC INVESTMENT ADVISORS, INC. located in Delafield, Wisconsin.

Richard is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2015. Richard has worked at 3 firms and has passed the Series 63, SIE, Series 87 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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard C Schiller'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®

None

Experience

Current

January 23, 2022 - Present

PAVLIC INVESTMENT ADVISORS, INC.

Office #1: 440 Wells Street 203, Delafield, WI 53018

RIA

CRD#: 111246

Delafield, WI

Past

November 27, 2018 - January 14, 2021

VP DISTRIBUTORS LLC

CRD#: 3036

CHICAGO, IL

Past

June 24, 2015 - October 22, 2018

ROBERT W. BAIRD & CO. INCORPORATED

CRD#: 8158

CHICAGO, IL

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

Illinois
(1/23/2022)

IAR

Wisconsin
(1/23/2022)

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: 7/2/2015

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 87

Date: 7/16/2015

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 7

Date: 6/24/2015

General Securities Representative Examination

Current Firm

PAVLIC INVESTMENT ADVISORS, INC.

CRD#: 111246 / SEC#: 801-60971

RIA

Registered Investment Advisory firm - (6/28/2012 Terminated)

Illinois

Registered Investment Advisory firm - (1/2/2019 Approved)

Wisconsin

Registered Investment Advisory firm - (6/27/2012 Approved)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

PREMIUM

Stay ahead of every change that matters. Proactive intelligence on your advisors, before issues escalate.

Biweekly Pulse, AutomaticallyScheduled alerts keep you informed without lifting a finger.

Catch Firm Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

Trends, Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

440 Wells Street 203, Delafield, WI 53018

Mailing Address

Phone number

(262) 646-4300

Established

Firm type

Fiscal year end

# of Employees

Documents

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	185
AUM (Assets Under Management)	$ 80,075,745

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.

Similar Advisors

Casey Berrall

BKM WEALTH MANAGEMENT

IAR

Brookfield, WI

Shelly Wohler

INDEPENDENT FINANCIAL PARTNERS

IAR

Brookfield, WI

Carson Biber

DRAKE & ASSOCIATES, LLC

IAR

WAUKESHA, WI

Why AdvisorCheck

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Richard C. Schiller

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Richard C Schiller's CRS (Customer Relationship Summary).

Certified licenses

Experience

PAVLIC INVESTMENT ADVISORS, INC.

VP DISTRIBUTORS LLC

ROBERT W. BAIRD & CO. INCORPORATED

State Registrations and Notice Filings

Exams

Series 63

Date: 7/2/2015

SIE

Date: 10/1/2018

Series 87

Date: 7/16/2015

Series 7

Date: 6/24/2015

Current Firm

PAVLIC INVESTMENT ADVISORS, INC.

Contact information

Documents

Regulatory assets under management

Red Flags

Company Information

PAVLIC INVESTMENT ADVISORS, INC.

TRUST BUT VERIFY

Similar Advisors