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Richard Sica

Charles Schwab & CO., INC.
39 Years of Experience
Brookfield, CT
3 DisclosuresBroker
View SEC Summary
View SEC Summary

Richard Sica is a registered investment advisor at Charles Schwab & CO., INC., based in Brookfield, CT, with 39 years of industry experience. Richard is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Education Planning, Estate Planning, High Net Worth, Insurance Planning, and 3 more.

Charles Schwab & CO., INC.
Compensation
Fixed/Hourly
Firm Size
8406 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified

Fee Structure

Planning is included in investment management
Minimum Annual Fee:$4,000
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $1.0M0.80%
$1.0M - $2.0M0.75%
$2.0M - $5.0M0.70%
$5.0M - $10.0M0.50%
$10.0M - $25.0M0.30%
$25M+0.30%

Fees for assets over $25 million are negotiable. A grandfathered schedule exists for clients enrolled prior to October 1, 2024.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

49 Federal Road, Brookfield, CT, 06804

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History

Regulatory History (3)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Customer Dispute
June 2024
Settled
Customer Dispute
March 2020
Settled
Customer Dispute
March 2020
Settled
View Full SEC ReportHow to Read Disclosures
Employment History
Current Registrations
Charles Schwab & CO., INC.Broker
October 2021 - Present · 5 yrs
Charles Schwab & CO., INC.
October 2021 - Present · 5 yrs
Previous Registrations
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 2009 - October 2021 · 11 yrs 11 mos
Merrill Lynch, Pierce, Fenner & Smith Incorporated
November 2009 - October 2021 · 11 yrs 11 mos
UBS Financial Services INC.
November 2000 - December 2009 · 9 yrs 1 mo
UBS Financial Services INC.Broker
October 2000 - December 2009 · 9 yrs 2 mos
Prudential Securities IncorporatedBroker
June 1997 - November 2000 · 3 yrs 5 mos
Cowen & CO.Broker
August 1993 - June 1997 · 3 yrs 10 mos
Lehman Brothers INC.Broker
October 1987 - September 1993 · 5 yrs 11 mos
State Registrations32 states
AKALAZCACOCTDCDEFLGAHIILMAMDMEMONCNHNJNMNVNYOHPARISCTNTXUTVAVTWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.
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