David A. Riolo
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 Anthony Riolo was a registered financial professional .
David is a previously registered financial professional and started their career in finance in 1999. David had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 22, 2013 - February 9, 2017
NATIONAL SECURITIES CORPORATION
January 4, 2012 - November 22, 2013
PRIME CAPITAL SERVICES, INC.
May 18, 2009 - January 20, 2012
MSI FINANCIAL SERVICES, INC.
February 12, 2008 - April 28, 2009
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 29, 2007 - February 4, 2008
CITIGROUP GLOBAL MARKETS INC.
October 5, 2000 - May 29, 2007
CITICORP INVESTMENT SERVICES
October 19, 1999 - September 21, 2000
M&T SECURITIES, INC.
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
Current Firm
NATIONAL SECURITIES CORPORATION
CRD#: 7569 / SEC#: , 8-164
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NATIONAL HOLDINGS CORPORATION | PARENT, OWNER | |
| MARKUNAS, MICHAEL | CHIEF COMPLIANCE OFFICER | 1832307 |
Disclosures
| Regulatory Event | 66 |
| Arbitration | 16 |
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.
