Richard C Dworzak

Employer firm

Benjamin F. Edwards & Company, Inc. CRD 146936

$18.9B regulatory AUM 23 advisory clients

Reported services (Item 5G)

• Financial planning
• Portfolio management (individuals)
• Portfolio management (institutions)
• Pension consulting
• Selection of other advisers
• Educational seminars

From the firm’s Form ADV. Read the guides:

• Item 5F — Regulatory AUM
• Item 5G — Advisory services
• Full firm profile

Current Employers

Employment History

• 06/2011 → 03/2017
  Merrill Lynch, Pierce, Fenner And Smith Incorporated
  Toms River, NJ
• 07/2011 → 03/2017
  Bank Of America, N.A.
  Toms River, NJ
• 03/2017 → Present
  Benjamin F Edwards & Co
  Red Bank, NJ

Previous Registrations

• 2011-10-18 → 2017-03-27
  Merrill Lynch, Pierce, Fenner & Smith Incorporated
  Toms River, NJ
• 2008-05-08 → 2011-06-30
  George Mckelvey Co., Inc.
  Manasquan, NJ
  Manasquan, NJ

Other Businesses

POA for son's IRA, 0.25 hours per month, 0.25 during market hours.

Exams

• S66 Uniform Combined State Law Examination
  2011-10-17
• S63 Uniform Securities Agent State Law Examination
  1999-06-25

Designations

• Certified Financial Planner