Richard L. Solares

Mr. Solares earned a Master of Business Administration degree in addition to a Bachelor of
Arts degree in Psychology from Southeastern Louisiana University. He joined Sisung Securities Corporation in 1990 and is a fully licensed General Securities Representative
(Series 7), General Securities Principal (Series 24), Municipal Securities Principal (Series
53), Securities Trader (Series 57 – formerly the Equity Trader Series 55), Investment
Banking Professional (Series 79), Operations Professional (Series 99), Government
Securities Principal (PG) and a Registered Investment Adviser (Series 65). Mr. Solares is
also a licensed insurance agent in the state of Louisiana.

Mr. Solares played a key role in the development and implementation of the securities
operations division of The Sisung Group. Additionally, he supervised the execution and
clearance of securities transactions and related operations. He later implemented a
transition from self-clearing to a fully disclosed Broker/Dealer clearing relationship with
Pershing. Furthermore, he was instrumental in creating the proprietary trading department
of The Sisung Group and has been actively involved in the fixed income management of
institutional clients. He also oversaw institutional retirement equity transactions and is
responsible for facilitating all equity trading activities of institutional clients of Sisung Securities Corporation.

In 1995, Mr. Solares was involved in the creation and development of Sisung Investment
Management Services, LLC, an SEC registered Investment Advisory Firm. Since that time,
he has provided investment advisory services to both individuals and institutions. In total,
his experience spans over thirty years of public and private finance experience as a FINRA
licensed securities broker, financial adviser, asset manager, and an SEC registered
Investment Adviser. Mr. Solares is currently a key member of Sisung Investment Management Service’s investment committee specializing in fixed income securities and exchange traded funds.

As Sr. VP of The Sisung Group, Mr. Solares is responsible for coordinating the primary
business functions for both the Broker/Dealer and Investment Advisory companies.
Additionally, one of his main priorities is his liaison relationship during firm self-regulatory
agency examinations including the SEC, FINRA and the LA Office of Financial Institutions.

Richard L. Solares
  • Bachelor of Arts, Southeastern Louisiana University
  • Master of Business Administration, Southeastern Louisiana University
  • General Securities Representative (Series 7)
  • General Securities Principal (Series 24)
  • Municipal Securities Principal (Series 53)
  • Securities Trader (Series 57 – formerly the Equity Trader Series 55)

  • Investment Banking Professional (Series 79)

  • Operations Professional (Series 99)

  • Government Securities Principal (PG)

  • Registered Investment Adviser (Series 65)