Richard Sica

Current Employers

Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

Authority	Category	Status	Date
CT	RA	APPROVED	2021-10-04

CT RA
APPROVED

Since 2021-10-04

Branch Locations

49 Federal Road, Brookfield, CT 06804 • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action No
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint Yes
Termination No

Employment History

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner, & Smith Incorporated	Ridgefield	CT	11/2009	10/2021
Bank Of America, Na	Ridgefield	CT	03/2010	10/2021
Charles Schwab & Co., Inc.	Brookfield	CT	10/2021	Present

11/2009 → 10/2021

Merrill Lynch, Pierce, Fenner, & Smith Incorporated

Ridgefield, CT
03/2010 → 10/2021

Bank Of America, Na

Ridgefield, CT
10/2021 → Present

Charles Schwab & Co., Inc.

Brookfield, CT

Previous Registrations

2009-11-13 → 2021-10-04

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Ridgefield, CT
2000-11-24 → 2009-12-02

Ubs Financial Services Inc.

Ridgefield, CT

Stamford, CT

Exams

Code	Exam	Date
S65	Uniform Investment Adviser Law Examination	1998-02-06
S63	Uniform Securities Agent State Law Examination	1987-10-23

S65 Uniform Investment Adviser Law Examination

1998-02-06
S63 Uniform Securities Agent State Law Examination

1987-10-23

View on SEC IAPD

Current Employers

Charles Schwab & Co., Inc.

Disclosures

Employment History

Previous Registrations

Exams

Other Firms

Other Investors

Other Offices

Reviews