David M. Riccio

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CRD#: 1094283

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.

David Michael Riccio was a registered financial professional .

David is a previously registered financial professional and started their career in finance in 1983. David had worked at 6 firms and has passed the Series 65, Series 63, Series 3 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

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.

The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®

None

Experience

Past

September 19, 2014 - February 22, 2018

CHARTER OAK CAPITAL MANAGEMENT

RIA

CRD#: 7471

NEW YORK, NY

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".

CHARTER OAK CAPITAL MANAGEMENT

CRD#: 120870 / SEC#: 801-64808

RIA

Registered Investment Advisory firm - (11/2/2005 Approved)

Maine

Registered Investment Advisory firm - (12/31/2005 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/21/2006 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/31/2005 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 11/17/1992

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/18/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 3

Date: 6/28/1983

National Commodity Futures Examination

General Industry/Product Exam

Series 7

Date: 2/19/1983

General Securities Representative Examination

Current Firm

CHARTER OAK CAPITAL MANAGEMENT

CRD#: 120870 / SEC#: 801-64808

RIA

Registered Investment Advisory firm - (11/2/2005 Approved)

Maine

Registered Investment Advisory firm - (12/31/2005 Terminated)

Massachusetts

Registered Investment Advisory firm - (3/21/2006 Terminated)

New Hampshire

Registered Investment Advisory firm - (12/31/2005 Terminated)

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Contact information

Main Address

Two International Drive Suite 325, Portsmouth, NH 03801

Mailing Address

Phone number

(800) 646-5720

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (21 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CHARTER OAK_PART 2A BROCHURE (7/14/2025)

Regulatory assets under management

Total Number of Accounts	1,359
AUM (Assets Under Management)	$ 1,419,829,350

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
07/28/2025	Cover Page	Report

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.

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David M. Riccio

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

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PRUDENTIAL EQUITY GROUP, LLC

PRUDENTIAL EQUITY GROUP, LLC

Primary Firm SEC Registration

CHARTER OAK CAPITAL MANAGEMENT

State Registrations and Notice Filings

Exams

Series 65

Date: 11/17/1992

Series 63

Date: 4/18/1983

Series 3

Date: 6/28/1983

Series 7

Date: 2/19/1983

Current Firm

CHARTER OAK CAPITAL MANAGEMENT

Contact information

SEC notice filing (21 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

CHARTER OAK CAPITAL MANAGEMENT

TRUST BUT VERIFY

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