Richard P. Triolo
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Richard Peter Triolo was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 1982. Richard had worked at 11 firms and has passed the Series 63, Series 65, SIE, Series 7, Series 6, Series 2, Series 62, Series 22 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 14, 2011 - August 9, 2019
PIMCO INVESTMENTS LLC
January 16, 2003 - August 17, 2007
ALLIANZ GLOBAL INVESTORS MANAGED ACCOUNTS LLC
April 23, 2001 - February 14, 2011
ALLIANZ GLOBAL INVESTORS DISTRIBUTORS LLC
June 12, 1996 - May 15, 2001
OCC DISTRIBUTORS LLC
August 24, 1994 - June 3, 1996
LPM INVESTMENT SERVICES, INC
July 31, 1991 - October 24, 1991
INVESTMENT ARCHITECTS, INC.
May 14, 1990 - June 6, 1991
LONDON PACIFIC SECURITIES, INC.
November 29, 1984 - November 28, 1989
VMS SECURITIES, INC.
February 16, 1984 - November 28, 1984
VALUE EQUITIES CORPORATION
October 13, 1983 - February 15, 1984
THE HARKNESS GROUP,LTD.
December 7, 1982 - March 29, 1983
LINCOLN FINANCIAL DISTRIBUTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 2
Date: 2/10/1993
Non-Member General Securities ExaminationSeries 62
Date: 7/21/1989
Corporate Securities Limited Representative ExaminationCurrent Firm
PIMCO INVESTMENTS LLC
CRD#: 154957 / SEC#: , 8-68686
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PACIFIC INVESTMENT MANAGEMENT COMPANY LLC | SOLE MEMBER | 104559 |
| BENTLEY, JAMES DANIEL | MANAGER, BOARD OF MANAGERS | 5138093 |
| BURG, ANTHONY ALAN | TREASURER | 6005184 |
| DUBITZKY, YITZHAK ZVI | CHIEF COMPLIANCE OFFICER & CHIEF LEGAL OFFICER | 6897287 |
| FERRARI, DAVID RICHARD | PRINCIPAL FINANCIAL OFFICER & FINANCIAL AND OPERATIONS PRINCIPAL | 6004690 |
| HALL, GREGORY WESTON | PRINCIPAL EXECUTIVE OFFICER & CHAIRMAN, BOARD OF MANAGERS | 3111343 |
| OGLESBY, SARAH JANE | SECRETARY | 7676855 |
| PITTERS, CALEB JOSEPH ALEXANDER JR | MANAGER, BOARD OF MANAGERS | 3198603 |
| SUTHERLAND, ERIC MICHAEL | PRESIDENT & MANAGER, BOARD OF MANAGERS | 1724744 |
| THOMAS, MARK GARETH | HEAD OF BUSINESS MANAGEMENT | 2923871 |
| TRACY, LAUREN RITA | MANAGER, BOARD OF MANAGERS | 4027974 |
| WHITTAKER, MEGAN HAYES | AML COMPLIANCE OFFICER | 6442805 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
