Richard James Carlesco

Cambridge Investment Research Advisors, INC.

34 Years of Experience

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Firm Information

Cambridge Investment Research Advisors, INC.

Compensation

Commission-BasedFee-Only (AUM)Fixed/Hourly

Number of Advisors

3845 advisors

Number of Clients

323,031 clients

Average Client Portfolio

$317K average

Assets Under Management

$102.4B

Fee Structure

This firm offers financial planning, financial wellness, and investment management services. Fees vary depending on the service and platform used. Contact the firm for specific fee information, as fees can vary based on the Financial Professional and client location. The firm does not specify AUM fee tiers in this brochure.

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Areas of Practice

Financial Planning & CoachingRetirement PlanningEstate PlanningEducation PlanningDivorce PlanningSpecial Needs PlanningInvestment Management

Advisor Information

Office location

404 Old Liverpool Rd, Liverpool, NY, 13088

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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.