Richard C. Fleischmann
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 Curtis Fleischmann, who also goes by Dick Fleischmann, Richard C Fleischmann, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1978. Richard had worked at 11 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 31, 2001 - March 1, 2018
STRATEGIC ADVISERS LLC
November 4, 1991 - March 1, 2018
FIDELITY BROKERAGE SERVICES LLC
April 30, 1991 - November 7, 1991
INTESA SANPAOLO IMI SECURITIES CORP.
September 30, 1988 - April 30, 1991
MABON, NUGENT & CO.
September 1, 1987 - October 6, 1988
INVEST FINANCIAL CORPORATION
November 7, 1986 - July 6, 1987
AMERIPRISE ADVISOR SERVICES, INC.
March 21, 1985 - October 29, 1986
INVEST FINANCIAL CORPORATION
January 21, 1984 - January 1, 1985
JSC SECURITIES, INC.
April 21, 1982 - March 28, 1984
UBS FINANCIAL SERVICES INC.
December 10, 1979 - April 14, 1982
LEHMAN BROTHERS INC.
June 25, 1979 - November 29, 1979
MORGAN STANLEY DW INC.
December 27, 1978 - July 14, 1979
FIRST JERSEY SECURITIES, INC.
Primary Firm SEC Registration
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
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 8
Date: 5/3/1984
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
STRATEGIC ADVISERS LLC
CRD#: 104555 / SEC#: 801-13243
Contact information
SEC notice filing (52 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 2,486,631 |
| AUM (Assets Under Management) | $ 1,067,664,605,590 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/24/2025 |
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.
