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Richard Larocque

Chief Compliance Officer at Ullico Investment Advisors

Broker registration; no current adviser registration

Richard Larocque is Chief Compliance Officer of Ullico Investment Advisors, Inc., a Bethesda investment adviser managing $13.9B. Richard Larocque has a current broker registration and no current investment-adviser registration and has passed 7 licensing exams.

7
Licensing exams

From the IAPD record · data retrieved 17 October 2026 · page updated 20 October 2026SEC record

Career

Richard Larocque has been Chief Compliance Officer of Ullico Investment Advisors since July 2011. Richard Larocque is a control person of the firm and directly owns under 5% of it.

Ullico Investment Advisors, Inc. is a Bethesda, MD firm with $13.9B under management, 25 clients and 58 advisers across 6 offices, as of its August 2026 filing.

No adviser firm registrations are on Richard Larocque’s record.

Credentials and registrations

Examinations

Series 142 January 2023
Name
Compliance Officer Examination
Series 79TO2 January 2023
Name
Investment Banking Registered Representative Examination
SIECredited
Name
Securities Industry Essentials Examination
Series 248 May 1999
Name
General Securities Principal Examination
Series 72 February 1999
Name
General Securities Representative Examination
Series 2618 September 1997
Name
Investment Company Products/Variable Contracts Principal Examination
Series 631 August 1997
Name
Uniform Securities Agent State Law Examination
Series 621 May 1997
Name
Investment Company Products/Variable Contracts Representative Examination

Individual record

Full name
Richard Francis Larocque
CRD
2874559

Disciplinary history is not reported here, in either direction. Check the SEC record.

Common questions

Where does Richard Larocque work?

Richard Larocque has been Chief Compliance Officer of Ullico Investment Advisors, Inc. since July 2011, and is a control person of the firm.

Source: Form ADV, Schedule A, filed 4 August 2026

Does Richard Larocque have a current investment-adviser registration?

Richard Larocque has a current broker registration and no current investment-adviser registration.

Source: IAPD individual record, checked 17 October 2026

What exams has Richard Larocque passed?

Richard Larocque has passed 7 licensing exams: the Series 6, Series 63, Series 26, Series 7, Series 24, Series 14 and Series 79TO. The earliest, the Series 6, was passed in May 1997. FINRA credited Richard Larocque with the SIE, which began in October 2018.

Source: IAPD individual record, checked 17 October 2026

Leadership at Ullico Investment Advisors

Sources

  1. IAPD individual record, CRD 2874559. Registration status, employment history and examinations.
  2. Form ADV Part 1A, Schedules A and B of Ullico Investment Advisors, Inc., filed 4 August 2026. Title, control and ownership bands.

Retrieved 17 October 2026. The SEC record may have been amended since.

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