RS
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Richard Sunwoo
28 Years of Experience
New York, NY
2 DisclosuresBroker
Richard Sunwoo is a registered investment advisor at Raymond James & Associates, INC., based in New York, NY, with 28 years of industry experience. Their practice areas include Education Planning, Estate Planning, Financial Planning & Coaching, Insurance Planning, and 2 more. Their firm serves 531,617 clients with $500B in assets under management.
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
5669 advisors
IM Fee
Planning only
Assets Under Management
$501.0B
Fee Structure
Investment management only (planning not offered)
Hourly Rate:Up to $400/hr
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Location
320 Park Avenue, Fl 9, New York, NY, 10022
Get directionsHistory
Regulatory History (2)
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Customer Dispute
March 2009Settled
Customer Dispute
December 2008Denied
Employment History
Current Registrations
Raymond James & Associates, INC.
May 2021 - Present · 5 yrs
Raymond James & Associates, INC.
May 2021 - Present · 5 yrs
Raymond James & Associates, INC.Broker
May 2021 - Present · 5 yrs
Previous Registrations
Wells Fargo Clearing Services, LLC
September 2018 - May 2021 · 2 yrs 8 mos
Wells Fargo Clearing Services, LLCBroker
September 2018 - May 2021 · 2 yrs 8 mos
J.P. Morgan Securities LLCBroker
October 2012 - September 2018 · 5 yrs 11 mos
J.P. Morgan Securities LLC
October 2012 - September 2018 · 5 yrs 11 mos
Chase Investment Services CORP.
January 2005 - October 2012 · 7 yrs 9 mos
Chase Investment Services CORP.Broker
September 2002 - October 2012 · 10 yrs 1 mo
Morgan Stanley Dw INC.Broker
March 1999 - September 2002 · 3 yrs 6 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
March 1998 - March 1999 · 1 yr
State Registrations9 states
CAGAMDNJNVNYPATXVirgin Islands
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.