Unclaimed Profile

Richard Louis Sumberg

THE FINANCIAL ADVISORS, LLC·ANDOVER, Massachusetts

SIE, Series 6, Series 7, Series 22, Series 24, Series 52, Series 62, Series 6332 years registeredTHE FINANCIAL ADVISORS, LLC

26 ESSEX STREET, ANDOVER, MA 01810CRD# 1455227Firm CRD# 146680

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Richard Louis Sumberg · ANDOVER, MA

Registration

CRD #1455227 · THE FINANCIAL ADVISORS, LLC · 32 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: THE FINANCIAL ADVISORS, LLC

THE FINANCIAL ADVISORS, LLC

Jul 2008 – Jan 2022

ANDOVER, MA

INDEPENDENT ADVISERS GROUP CORP

Jan 2001 – Dec 2006

ANDOVER, MA

THE FINANCIAL ADVISORS LLC

Apr 1994 – Mar 2008

ANDOVER, MA

Registrations & Exams

FINRA examinations passed

SIE

Series 6

Series 7

Series 22

Series 24

Series 52

Series 62

Series 63

Registration record

First registered · April 19, 1994

Years registered · 32

Disclosure History

1999Customer Dispute·Settled

1 disclosure event on file · Verify on FINRA BrokerCheck →

Source: SEC IAPD, as of 14 August 2026. Resolutions may have changed since.

Firm Overview

Firm

THE FINANCIAL ADVISORS, LLC

CRD 146680 · SEC 801-68921

AUM

$981M

Regulatory assets under management

Employees

2,185 client accounts

Services offered by THE FINANCIAL ADVISORS, LLC

Per Form ADV

Financial planning

Portfolio management (individuals)

Publication of periodicals/newsletters

Other

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

View all advisors at THE FINANCIAL ADVISORS, LLC →

Introduction

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Frequently Asked Questions

What services does Richard Louis Sumberg offer?

Richard Louis Sumberg specializes in Financial Planning, Investment Management.

What are Richard Louis Sumberg's credentials?

Richard Louis Sumberg is a registered investment adviser representative. Check their firm's Form ADV filing for detailed qualification information.

Where is Richard Louis Sumberg located?

Richard Louis Sumberg is based in ANDOVER, Massachusetts, last registered with THE FINANCIAL ADVISORS, LLC.

How does Richard Louis Sumberg charge for services?

Richard Louis Sumberg's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is THE FINANCIAL ADVISORS, LLC?

THE FINANCIAL ADVISORS, LLC has approximately 13 employees and manages $981M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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