RT
Richard N. Trotta
THURSTON SPRINGER ADVISORS
PALM BEACH GARDENS, FL 33410
Some features on this profile are disabled
CRD#: 1300940
RT
Professional summary
Richard Noel Trotta is a registered financial advisor currently at THURSTON SPRINGER ADVISORS located in Palm Beach Gardens, Florida and THURSTON, SPRINGER, MILLER, HERD & TITAK, INC. located in Palm Beach Gardens, Florida.
Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1984. Richard has worked at 10 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 7, Series 10, Series 9 and Series 8 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.
Board of Directors; VoteWater; Treasurer; Stuart, FL 34994; Not Investment Related; July 2019; 10-19 hours per month; 1-9 during trading hours/ Friends of the Everglades; Treasurer; Stuart, FL 34997; Not Investment Related; July 2019; 1-9 hours per month; 1-9 during trading hours. Rayni Foundation, not investment related, non profit, voting member for scholarships committee. Trustee Nidia M. Montero Declaration of Trust U/A/D 08-29-2023, I act in a fiduciary capacity - identifying the trusts assets, administering and investing the assets. Distributing assets to beneficiaries and delivering Nidia's bequests to non profits, maintaining two homes. Trustee, Raul P. Rodriquez Trust, Not investment related non beneficiary. trust dated 5/1/2023. Executive oversight. 1 - 2 hours a month Co-Trustee R & N Land trust, Executive oversight, 1 - 2 hours a month Trustee, Anthea Turner Trust Aug. 2022, & Turner Family Trust FBO Wendy Sching & Turner Family Trust FBO Holly Martin. Executive oversight 1-2 hours a month Co- Trustee Rebecca A Rodriguez Trust, Does have fiduciary Responsibilities, no comp. Co-Trustee Ricardo A Rodrigues Trust Co-Trustee Raquel Rodriguez Trust Co-Trustee Rafeal Rodriguez Trust Moretti Ministries Real Estate, Appointed as Treasurer
CRS (Client Relationship Summary) - RIA
Click below to view Richard Noel Trotta'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
March 25, 2022 - Present
THURSTON SPRINGER ADVISORS
Office #1: 11000 Prosperity Farms Road, Palm Beach Gardens, FL 33410RIA
CRD#: 299201
PALM BEACH GARDENS, FL
Current
March 25, 2022 - Present
THURSTON, SPRINGER, MILLER, HERD & TITAK, INC.
Office #1: 11000 Prosperity Farms Road Suite 300, Palm Beach Gardens, FL 33410BD
CRD#: 8478
Palm Beach Gardens, FL
Past
May 1, 2012 - March 31, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
RIA
CRD#: 6363
PALM BEACH GARDENS, FL
Past
April 20, 2012 - March 31, 2022
AMERIPRISE FINANCIAL SERVICES, LLC
BD
CRD#: 6363
PALM BEACH GARDENS, FL
Past
June 1, 2009 - April 30, 2012
MORGAN STANLEY
RIA
CRD#: 149777
JUPITER, FL
Past
June 1, 2009 - April 30, 2012
MORGAN STANLEY
BD
CRD#: 149777
JUPITER, FL
Past
January 18, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
RIA
CRD#: 7059
WEST PALM BEACH, FL
Past
January 7, 2005 - June 1, 2009
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
WEST PALM BEACH, FL
Past
October 1, 1999 - January 10, 2005
WELLS FARGO CLEARING SERVICES, LLC
RIA
CRD#: 19616
PALM BEACH GARDENS, FL
Past
October 1, 1999 - January 10, 2005
WELLS FARGO CLEARING SERVICES, LLC
BD
CRD#: 19616
ST. LOUIS, MO
Past
March 19, 1999 - October 1, 1999
FIRST UNION CAPITAL MARKETS CORP.
BD
CRD#: 6124
CHARLOTTE, NC
Past
October 30, 1989 - March 24, 1999
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
BD
CRD#: 7691
NEW YORK, NY
Past
September 22, 1989 - November 8, 1989
KIDDER, PEABODY & CO. INCORPORATED
BD
CRD#: 7613
NEW YORK, NY
Past
March 17, 1987 - September 12, 1989
CITIGROUP GLOBAL MARKETS INC.
BD
CRD#: 7059
NEW YORK, NY
Past
September 24, 1984 - March 27, 1987
MORGAN STANLEY DW INC.
BD
CRD#: 7556
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".
TS
THURSTON SPRINGER ADVISORS
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS | SPRAWLS FINANCIAL | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | FRATARCANGELI WEALTH MANAGEMENT | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BALDASSARI ADVISORY | ASCEND WEALTH | AP CAPITAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL
CRD#: 299201 / SEC#: 801-114256
RIA
Registered Investment Advisory firm - (11/2/2018 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.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Arizona(3/25/2022)
RR
California(3/25/2022)
RR
District of Columbia(3/25/2022)
RR
Florida(3/25/2022)
IAR
Florida(4/26/2022)
RR
Georgia(11/26/2024)
RR
Maryland(3/25/2022)
RR
Massachusetts(11/26/2024)
RR
Nevada(3/25/2022)
RR
New Jersey(3/25/2022)
RR
New York(3/25/2022)
RR
North Carolina(3/25/2022)
RR
Ohio(11/27/2024)
RR
Pennsylvania(3/25/2022)
RR
South Carolina(3/25/2022)
RR
Tennessee(3/25/2022)
RR
Texas(3/25/2022)
IAR
Texas(3/25/2022)
RR
Utah(10/3/2025)
RR
Virginia(4/6/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 8/29/1994
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
TS
THURSTON SPRINGER ADVISORS
ADAMS COUNTY FINANCIAL RESOURCES | WESLEY BATES WEALTH MANAGEMENT | THURSTON SPRINGER RETIREMENT SERVICES | THURSTON SPRINGER FINANCIAL | THURSTON SPRINGER ADVISORS, LLC | THURSTON SPRINGER ADVISORS | THORSON TAX & FINANCIAL | THE BARTHEL AGENCY | TARGETED RETIREMENT STRATEGIES | T.S. PHILLIPS | SPRAWLS FINANCIAL | RETIREMENT AND ESTATE PLANNING SERVICES | ONTRACK CAPITAL MANAGEMENT | NORTH STAR FINANCIAL | LAVELLE FINANCIAL | JKS INVESTMENT MANAGEMENT OF THURSTON SPRINGER | J. SIMON & COMPANY | INVESTMENT STRATEGIES | INTEGRITY WEALTH SOLUTIONS | HOLCOMB WEALTH MANAGEMENT | FRATARCANGELI WEALTH MANAGEMENT | DAMER WEALTH MANAGEMENT | CONSERVATION WEALTH MANAGEMENT | COHEN CAPITAL MANAGEMENT | CHIDDISTER FINANCIAL ASSOCIATES | CERULEAN CAPITAL MANAGEMENT, LLC | BCT FINANCIAL | BALDASSARI ADVISORY | ASCEND WEALTH | AP CAPITAL MANAGEMENT | AMERICAN PENSION ADVISORS | ALPHA POINTE CAPITAL
CRD#: 299201 / SEC#: 801-114256
RIA
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Contact information
Main Address
9000 Keystone Crossing Seventh Floor, Indianapolis, IN 46240
Mailing Address
Phone number
(317) 581-4000
Established
Firm type
Fiscal year end
# of Employees
93
SEC notice filing (41 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 6,759 |
| AUM (Assets Under Management) | $ 3,675,305,852 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 05/21/2025 | ||
| 02/28/2024 |
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.
