LR
Louis M. Ricciardi
BRISTOL WEALTH GROUP | Branch Manager
TAUNTON, MA 02780
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CRD#: 1010465
LR
Professional summary
Louis Michael Ricciardi is a registered financial advisor currently at BRISTOL WEALTH GROUP located in Taunton, Massachusetts.
Louis is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1981. Louis has worked at 8 firms and has passed the Series 66, Series 63, SIE, Series 5, Series 7, Series 10 and Series 9 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
Other business activities
Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
1) Boys & Girls Club of Metro South. Taunton, MA 02780. 501(c)3 local chapter of National youth service/organization. Board member. 2 hrs/mo; 0 during trading hrs. Not investment related. 2) Bridgewater State University Foundation. Bridgewater, MA 02325. 501(c)3 University Foundation. Elected trustee, past board chair. 2 hrs/mo; 0 during trading hrs. Not investment related. 3) Massachusetts Maritime Academy Foundation. Buzzards Bay, MA 02532. 501(c)3 academy/college foundation. Trustee/board member. 2 hrs/mo; 0 during trading hrs. Not investment related. 4) RFG-Bristol Wealth Advisors, LLC DBA Bristol Wealth Group. Taunton, MA 02780. RIA. 160 hrs/mo; 160 during trading hrs. 5) Ricciardi College of Business Advisory Board. Harrington Hall, Bridgewater State University, Bridgwater, MA 02325. Advisory board for College of Business. Board member. 2 hrs/mo; 0 during trading hrs. Not investment related. 6) Rotary Club of the Bridgewaters (MA). Community service organization, local chapter. Member. 4 hrs/mo; 0 during trading hrs. Not investment related. 7) Taunton Development Corp. Church Green, Taunton, MA 02780. Non profit 501(c)6. Land development company that has built two industrial parks for the city of Taunton, MA. Board President, overseeing meetings, vetting business interests in the park. 3 hrs/mo; 0 during trading hrs. (8.) NAME OF OBA: BRISTOL COUNTY SAVINGS BANK; ADDRESS OF OBA: TAUNTON, MA 02780; NATURE: DIRECTOR; INVESTMENT RELATED: NO; TITLE WITH OBA: DIRECTOR; DUTIES: MONTHLY BOARD MEETINGS TO DISCUSS AND TAKE ACTION ON ITEMS PERTAINING TO THE BANK; START DATE: 12/1992; APPROX. NUMBER OF HOURS/MONTH: 4; APPROX. NUMBER OF HOURS/MONTH DURING TRADING HOURS: 4
CRS (Client Relationship Summary) - RIA
Click below to view Louis Michael Ricciardi's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
July 3, 2024 - Present
BRISTOL WEALTH GROUP
Office #1: 35 Broadway 2nd Floor, Taunton, MA 02780RIA
CRD#: 330145
TAUNTON, MA
Past
June 26, 2024 - October 14, 2025
PRIVATE CLIENT SERVICES, LLC
BD
CRD#: 120222
Taunton, MA
Past
September 28, 2009 - July 2, 2024
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
RIA
CRD#: 149018
TAUNTON, MA
Past
September 25, 2009 - July 2, 2024
RAYMOND JAMES FINANCIAL SERVICES, INC.
BD
CRD#: 6694
TAUNTON, MA
Past
April 25, 2006 - October 5, 2009
UBS FINANCIAL SERVICES INC.
RIA
CRD#: 8174
TAUNTON, MA
Past
July 12, 2002 - October 5, 2009
UBS FINANCIAL SERVICES INC.
BD
CRD#: 8174
TAUNTON, MA
Past
February 2, 1988 - July 16, 2002
MORGAN STANLEY DW INC.
BD
CRD#: 7556
PURCHASE, NY
Past
January 11, 1988 - February 2, 1988
MORGAN STANLEY DW INC.
BD
CRD#: 7556
Past
January 31, 1984 - January 21, 1988
THOMSON MCKINNON SECURITIES INC.
BD
CRD#: 829
Past
September 24, 1981 - October 28, 1983
LEHMAN BROTHERS INC.
BD
CRD#: 7506
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
BW
BRISTOL WEALTH GROUP
BRISTOL WEALTH GROUP | RFG - BRISTOL WEALTH ADVISORS, LLC
CRD#: 330145 / SEC#: 801-130278
RIA
Registered Investment Advisory firm - (5/16/2024 Approved)State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.Highlighted states indicate IAR registrations
IAR
Massachusetts(7/3/2024)
IAR
Texas(10/22/2024)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
RR
Series 5
Date: 10/17/1981
Interest Rate Options ExaminationGeneral Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Current Firm
BW
BRISTOL WEALTH GROUP
BRISTOL WEALTH GROUP | RFG - BRISTOL WEALTH ADVISORS, LLC
CRD#: 330145 / SEC#: 801-130278
RIA
Registered Investment Advisory firm - (5/16/2024 Approved)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
35 Broadway 2nd Floor, Taunton, MA 02780
Mailing Address
Phone number
(508) 822-0122
Established
Firm type
Fiscal year end
# of Employees
8
SEC notice filing (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 1,920 |
| AUM (Assets Under Management) | $ 876,498,739 |
Red Flags
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Company Information
BRISTOL WEALTH GROUP
Branch ManagerCRD#: 330145Taunton, MA 02780TRUST BUT VERIFY
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Contact information
(xxx) xxx-xxxx
xxxxx@xxxx.xxx
