About Us
Dedicated to the independent fee advisor
For more than 14 years, Sincere & Co. has served as an expert resource and conduit between fee advisors and the companies that serve them. By building strong relationships with advisors, we strive to better understand their needs and, in turn, represent only those quality investment products and services that we believe will add value for fee advisors and their clients.
Mutual Fund Distribution by Richard Sincere
Business Continuity Plan Summary Disclosure
Bios
Richard Sincere – Chairman & CEO
Debra Sincere – EVP, Operations and Marketing Communications
Peter Flynn – SVP, Chief Technology Officer, Chief Compliance Officer
Andrew Ludwig – Director, Institutional Sales
Melissa Surprenant – Marketing
Richard Sincere, Chairman and CEO, founded Sincere & Co. in 1997, building on a career in the financial services industry that began in 1975.
Prior to starting the firm, Richard was Senior Vice President of Fidelity Investment Advisor Group (FIAG), a division of Fidelity Investments. In 1994, Richard joined National Westminster Bank as a Senior Vice President of NatWest Brokerage, after serving over 10 years in strategic marketing and sales positions for Citibank/Citicorp, including Regional Vice President of Citicorp Investments. Prior to that, he held positions at AON Corporation (formerly Ryan Insurance) and PepsiCo (Wilson Sporting Goods).
Richard is on the Board of Directors of the Certified Financial Planners Board of Standards, Inc. He currently writes a bimonthly column for NAPFA Advisor, a publication of the National Association of Personal Financial Advisors, and also serves on the advisory boards of two financial publications - the Journal of Wealth Management and Inside Money (insidemoney.org). He is a shareholder of National Advisor Trust Company (NATC) and has worked with them and other financial boards (including AICPA, NAPFA and FPA) on strategic planning. In addition, he serves on the mutual fund board of Rogé Partners Fund, a wholly-owned subsidiary of R.W. Rogé & Company. Richard has spoken at conferences for NAPFA, FPA, TD Ameritrade, and AICPA on topics ranging from strategic marketing to better understanding the advisor market.
Richard received his Bachelor of Arts at the University of Wisconsin, Madison and his Master of Management at J.L. Kellogg Graduate School of Management at Northwestern University. He is currently on the Executive Board of American Friends of Tel Aviv University, a member of the International Board of Governors of Tel Aviv University, and a member of the Recanati Business School Faculty Board of Directors.
Richard is a registered representative and holds Series 7, 24, 63, and 65 licenses.
Debra Sincere, Executive Vice President, oversees operations and marketing communications for the company. Prior to the company’s start-up, Debra was a freelance copywriter for ad agencies and their clients. She was a copywriter and creative director at IMPACT, the sales promotion division of Foote, Cone & Belding (now TrueNorth Communications) in Chicago, Illinois. Debra earned her Master of Business Administration from De Paul University in Chicago, and her Bachelor of Science degree in Medical Technology from Michigan State University. She holds Series 7 and 24 licenses.
Peter Flynn is Senior Vice President, Chief Technology Officer and Chief Compliance Officer for Sincere & Co. He is responsible for technology research and planning as well as compliance for Sincere & Co. Prior to joining the firm, Peter served as compliance specialist with John Hancock Financial Services. He holds Series 6, 7, 24, 63, and 65 licenses. In 2003, Peter completed a tour of duty for the U.S. Army Reserve, providing support of soldier readiness. He also researched Department of Defense policies and regulations to ensure unit compliance with all directives.
Andrew Ludwig joined Sincere & Co. from Simplex Investments in Chicago where he was an equity derivatives trader. He earned a B.S. in Legal Studies and Finance from Indiana University and is currently a level I candidate in the Chartered Financial Analyst (CFA) program. Andrew holds Series 6 and 63 licenses.
Melissa Surprenant brings extensive marketing and graphic design experience to Sincere & Co. She has worked as a designer/art director for both small graphic design studios and advertising agencies before forming Melpon Design, her own design company, in 1994. Melissa studied graphic design in 1989 at the Maryland Institute College of Art. She completed her undergraduate studies at the University of Massachusetts – Dartmouth, receiving a Bachelor of Fine Art degree in Visual Design and Typography in 1992.