Richard Francis Froio
Professional Summary
Richard Francis Froio, who also goes by Richard Francis Froio Sr, Richard Francis Froio Sr., Richard Francis Froio, Rick Froio, is a registered financial advisor currently at EATON VANCE MANAGEMENT located in Boston, Massachusetts and EATON VANCE DISTRIBUTORS, INC. located in Boston, Massachusetts. Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Richard has worked at 26 firms and has passed the Series...
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
Richard Francis Froio Sr, Richard Francis Froio Sr., Richard Francis Froio, Rick Froio
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
xxxxx@xxxx.xxx
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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.
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Years of Experience
34 years in the financial services industry
Current & Past Employments
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Current Firm
EATON VANCE MANAGEMENT
Contact Information
Main Address
One Post Office Square, Boston, MA 02109Phone Number
(617) 482-8260# of Employees
219SEC notice filing (53 States and Territories)
Registered to provide investment advisory services in 53 US states and territories.
Documents
Part 2 Brochures
Regulatory Assets Under Management
Total Number of Accounts
3,816AUM (Assets Under Management)
$97,020,545,041Similar Advisors
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Other business activities
Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.
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.
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Primary Firm SEC Registration
EATON VANCE MANAGEMENT
State Registrations and Notice Filings
(11/14/2017)
(12/12/2017)
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.Note:This rule does not apply to broker-dealer activity.
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 6 — Investment Company Products/Variable Contracts Representative Examination
Passed Jun 1992About the Series 6 examSRO Registrations
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CRS (Client Relationship Summary) - RIA
Click below to view Richard Francis Froio's CRS (Customer Relationship Summary).
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