John M. Riso
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.
John Michael Riso was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1984. John had worked at 15 firms and has passed the Series 63, Series 52TO, SIE, Series 7, Series 4, Series 53 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
November 1, 2021 - October 10, 2025
AMERITAS ADVISORY SERVICES, LLC
June 9, 2021 - November 1, 2021
AMERITAS INVESTMENT COMPANY, LLC
August 30, 2017 - October 10, 2025
AMERITAS INVESTMENT COMPANY, LLC
June 20, 2016 - March 31, 2017
NATIONAL SECURITIES CORPORATION
February 15, 2011 - June 15, 2016
PARK AVENUE SECURITIES LLC
July 28, 2009 - January 13, 2010
MSI FINANCIAL SERVICES, INC.
February 12, 2007 - July 9, 2007
METROPOLITAN LIFE INSURANCE COMPANY
February 12, 2007 - January 23, 2009
TOWER SQUARE SECURITIES, INC.
November 26, 2001 - January 23, 2009
WALNUT STREET SECURITIES, INC.
November 16, 2001 - January 23, 2009
NEW ENGLAND SECURITIES
November 16, 2001 - January 23, 2009
MSI FINANCIAL SERVICES, INC.
February 5, 2001 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
March 22, 2000 - November 15, 2000
NORTHRIDGE CAPITAL CORPORATION
November 19, 1989 - March 31, 2000
OSAIC WEALTH, INC.
March 21, 1986 - November 19, 1989
INTEGRATED RESOURCES EQUITY CORPORATION
July 11, 1985 - February 19, 1986
NORBAY SECURITIES INC.
October 29, 1984 - March 4, 1985
HEINER & STOCK, INC.
Primary Firm SEC Registration
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
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 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationCurrent Firm
AMERITAS ADVISORY SERVICES, LLC
CRD#: 317245 / SEC#: 801-55153
Contact information
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 41,501 |
| AUM (Assets Under Management) | $ 11,506,548,514 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 10/28/2025 | ||
| 07/23/2024 | ||
| 07/27/2023 |
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.
