Richard James Carlesco

Cambridge Investment Research Advisors, INC.

34 Years of Experience

1 DisclosureBroker

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Areas of Practice

Retirement PlanningDivorce PlanningEstate PlanningEducation PlanningFinancial Planning & CoachingInvestment Management

Cambridge Investment Research Advisors, INC.

Compensation

Commission-BasedFee-Only (AUM)Fixed/Hourly

Firm Size

3842 advisors

Number of Clients

323,031 clients

Average Client Portfolio

$317K average

Assets Under Management

$102.4B

Fee Structure

Location

404 Old Liverpool Rd, Liverpool, NY, 13088

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History

Regulatory History (1)

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 2014

Settled

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Other Business Activities

Richard is a board member and volunteer for Victory for Vets, Inc., dedicating minimal time. He is also an investment advisor representative (IAR) of a registered investment advisor (RIA), spending nearly full-time on this activity.