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Richard Louis Solares

Sisung Investment Management Services LLC

Metairie, LA

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Current Employers
Sisung Investment Management Services Llc

3850 N. Causeway Blvd. Suite 1930, Metairie, LA 70002 • United States

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED_RES 2012-10-15
LA RA APPROVED 2011-05-12
  • TX RA
    APPROVED_RES
    Since 2012-10-15
  • LA RA
    APPROVED
    Since 2011-05-12

Branch Locations

3850 N. Causeway Blvd. Suite 1930, Metairie, LA 70002 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Sisung Securities Corporation New Orleans LA 01/1990 Present
Sisung Investment Management Services, Inc. New Orleans LA 06/1995 Present
  • 01/1990 → Present
    Sisung Securities Corporation
    New Orleans, LA
  • 06/1995 → Present
    Sisung Investment Management Services, Inc.
    New Orleans, LA
Other Businesses

OFFICER OF SISUNG INVESTMENT MANAGEMENT SERVICES, LLC / INVESTMENT RELATED / 201 ST. CHARLES AVE., STE. 4240, NEW ORLEANS, LA 70170 / V.P. / 6/15/1995 / 20 HRS. / 20 HRS. / INVESTMENT ADVISORY, OPERATIONS, COMPLIANCE

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 2016-03-21
S63 Uniform Securities Agent State Law Examination 1990-02-15
  • S65 Uniform Investment Adviser Law Examination
    2016-03-21
  • S63 Uniform Securities Agent State Law Examination
    1990-02-15

View on SEC IAPD

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INDEPENDENT ADVISOR ALLIANCE, LLC
USI SECURITIES, INC.

Other Investors

RUFUS PRADOS CRESSEND
Ellen Alisse Geissal Morvant
James Anthony Ray
Jarod Hopper
Shelby Renee Cressend
ANDRE PIERCE LEBLANC
NEAL KENNETH ADLER
LOUIS WILLIAM BUNDY

Other Offices

AMERIPRISE FINANCIAL SERVICES, LLC · Metairie, LA
AMERITAS ADVISORY SERVICES, LLC · Metairie, LA
TIAA-CREF INDIVIDUAL & INSTITUTIONAL SERVICES, LLC · Metairie, LA
MERCER GLOBAL ADVISORS INC. · Metairie, LA
LPL ENTERPRISE, LLC · METAIRIE, LA
GUILBAULT CAPITAL · METAIRIE, LA
INDEPENDENT ADVISOR ALLIANCE, LLC · Metarie, LA
USI SECURITIES, INC. · Metairie, LA

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