RS
RS
Richard Sica
38 Years of Experience
Brookfield, CT
3 DisclosuresBroker
Richard Sica is a registered investment advisor at Charles Schwab & CO., INC., based in Brookfield, CT, with 38 years of industry experience. Richard operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Estate Planning, Investment Management, Retirement Planning.
Compensation
Fixed/Hourly
Firm Size
8109 advisors
Number of Clients
Not specified
Average Client Portfolio
Not specified
Fee Structure
Planning is included in investment management
Minimum Annual Fee:$1,000
Portfolio-Based Fees (Tiered)
| Portfolio Value | Annual Fee |
|---|---|
| Up to $1.0M | 0.80% |
| $1.0M - $2.0M | 0.75% |
| $2.0M - $5.0M | 0.70% |
| $5.0M - $10.0M | 0.50% |
| $10.0M - $25.0M | 0.30% |
| $25M+ | 0.30% |
Fee schedule effective October 1, 2024. Clients enrolled prior to this date may have grandfathered fee schedules. Fees may be negotiable for assets over $25 million.
Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
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Location
49 Federal Road, Brookfield, CT, 06804
Get directionsHistory
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 2024Settled
Customer Dispute
March 2020Settled
Customer Dispute
March 2020Settled
Employment History
Current Registrations
Charles Schwab & CO., INC.Broker
October 2021 - Present · 4 yrs 9 mos
Charles Schwab & CO., INC.
October 2021 - Present · 4 yrs 9 mos
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.