John C. Riazzi

Some features on this profile are disabled

CRD#: 1813944

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 Carmen Riazzi, CFA was a registered financial professional .

John is a previously registered financial professional and started their career in finance in 1988. John had worked at 6 firms and has passed the Series 65, Series 63, Series 6, Series 7 and Series 26 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®

CFA

Chartered Financial Analyst

Experience

Past

September 28, 2018 - February 18, 2020

JOHNSON INVESTMENT COUNSEL, INC.

RIA

CRD#: 117054

DAYTON, OH

Past

May 4, 2007 - December 31, 2018

RIAZZI ASSET MANAGEMENT, LLC

RIA

CRD#: 143745

KETTERING, OH

Past

April 5, 2004 - June 1, 2007

TRANSAMERICA INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108488

DAYTON, OH

Past

April 11, 2002 - April 28, 2005

TRANSAMERICA SECURITIES SALES CORPORATION

CRD#: 17970

LOS ANGELES, CA

Past

April 4, 2002 - March 19, 2004

TRANSAMERICA INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108488

DAYTON, OH

Past

May 13, 1997 - June 28, 2001

2480 SECURITIES LLC

CRD#: 41964

DAYTON, OH

Past

March 22, 1988 - October 12, 1988

BLUNT ELLIS & LOEWI INCORPORATED

CRD#: 7580

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".

JOHNSON INVESTMENT COUNSEL, INC.

CRD#: 117054 / SEC#: 801-60676

RIA

Registered Investment Advisory firm - (11/20/2001 Approved)

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: 10/30/1991

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 4/8/1988

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 6

Date: 4/24/1997

Investment Company Products/Variable Contracts Representative Examination

General Industry/Product Exam

Series 7

Date: 3/19/1988

General Securities Representative Examination

Principal/Supervisory Exam

Series 26

Date: 5/6/1997

Investment Company Products/Variable Contracts Principal Examination

Current Firm

JOHNSON INVESTMENT COUNSEL, INC.

CRD#: 117054 / SEC#: 801-60676

RIA

Registered Investment Advisory firm - (11/20/2001 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

3777 West Fork Road, Cincinnati, OH 45247

Mailing Address

Phone number

(513) 661-3100

Established

Firm type

Fiscal year end

# of Employees

157

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

JOHNSON INVESTMENT COUNSEL, INC. ADV PART 2A (3/28/2025)

Regulatory assets under management

Total Number of Accounts	16,634
AUM (Assets Under Management)	$ 20,872,135,890

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/22/2025	Cover Page	Report
06/12/2024	Cover Page	Report
10/20/2023	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.

Similar Advisors

Stephen Zahka

EDWARD JONES

IAR

Marlborough, MA

Frank Moore

UBS FINANCIAL SERVICES INC.

IAR

Greenwich, CT

Marshall Rosen

OSAIC WEALTH, INC.

IAR

Fort Lauderdale, FL

We're Here To Help

Advisor Monitoring

Firm Stability Insights

John C. Riazzi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

RIAZZI ASSET MANAGEMENT, LLC

TRANSAMERICA INVESTMENT MANAGEMENT, LLC

TRANSAMERICA SECURITIES SALES CORPORATION

TRANSAMERICA INVESTMENT MANAGEMENT, LLC

2480 SECURITIES LLC

BLUNT ELLIS & LOEWI INCORPORATED

Primary Firm SEC Registration

JOHNSON INVESTMENT COUNSEL, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 10/30/1991

Series 63

Date: 4/8/1988

Series 6

Date: 4/24/1997

Series 7

Date: 3/19/1988

Series 26

Date: 5/6/1997

Current Firm

JOHNSON INVESTMENT COUNSEL, INC.

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

JOHNSON INVESTMENT COUNSEL, INC.

TRUST BUT VERIFY

Similar Advisors