Frank E. Riggio
Professional summary
Frank Edward Riggio, who also goes by Frank E Riggio, is a registered financial advisor currently at PROSUS WEALTH MANAGEMENT located in New York, New York.
Frank is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1987. Frank has worked at 18 firms and has passed the Series 65, Series 63, SIE, Series 7, Series 6 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Frank Edward Riggio's CRS (Customer Relationship Summary).
Certified licenses
Experience
July 21, 2021 - Present
PROSUS WEALTH MANAGEMENT
Office #1: 30 Wall Street 8th Floor, New York, NY 10005June 30, 2011 - February 22, 2017
INVESTACORP, INC.
June 23, 2008 - July 14, 2011
NEW ENGLAND SECURITIES
February 6, 2004 - April 8, 2008
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
May 1, 2002 - December 4, 2003
WAMU INVESTMENTS, INC.
January 12, 2001 - May 1, 2002
DIME SECURITIES, INC.
August 28, 2000 - January 17, 2001
BNY MELLON SECURITIES CORPORATION
September 18, 1996 - March 13, 2000
CHASE INVESTMENT SERVICES CORP.
September 6, 1996 - September 18, 1996
CHEMICAL INVESTMENT SERVICES CORP.
November 21, 1995 - August 28, 1996
IDS LIFE INSURANCE COMPANY
November 21, 1995 - August 28, 1996
AMERIPRISE FINANCIAL SERVICES, LLC
January 24, 1994 - January 2, 1996
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 24, 1994 - January 2, 1996
EQUITABLE ADVISORS, LLC
February 2, 1993 - May 15, 1993
COMMONWEALTH ASSOCIATES
April 2, 1990 - November 4, 1992
PRUDENTIAL EQUITY GROUP, LLC
August 26, 1988 - April 16, 1990
LEHMAN BROTHERS INC.
December 10, 1987 - August 24, 1988
MORGAN STANLEY DW INC.
September 10, 1987 - January 1, 1988
STEINBERG & LYMAN
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(7/21/2021)
Exams
Current Firm
PROSUS WEALTH MANAGEMENT
CRD#: 312172 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 20 |
| AUM (Assets Under Management) | $ 8,145,555 |
Red Flags
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