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Lawrence L. Ricci

NEW YORK LIFE INVESTMENT MANAGEMENT LLC
New York, NY 10010
Some features on this profile are disabled
CRD#: 2662498
LR

Professional summary

Lawrence Louis Ricci JR, who also goes by Larry Ricci, Lawrence Ricci, is a registered financial advisor currently at NEW YORK LIFE INVESTMENT MANAGEMENT LLC located in New York, New York and NYLIFE DISTRIBUTORS LLC located in New York, New York.

Lawrence is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1995. Lawrence has worked at 8 firms and has passed the Series 66, Series 65, Series 63, Series 6TO, SIE, Series 7 and Series 6 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Larry Ricci | Lawrence Ricci

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.
Massapequa Soccer Club since 9/2017; not investment related; Secretary; 6 hours per month not during normal business hours.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Lawrence Louis Ricci JR's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 1, 2020 - Present

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

Office #1: 51 Madison Avenue, New York, NY 10010
RIA
CRD#: 109591
New York, NY
Current

January 1, 2015 - Present

NYLIFE DISTRIBUTORS LLC

Office #1: 51 Madison Avenue, New York, NY 10010
BD
CRD#: 35350
New York, NY
Past

July 19, 2005 - March 27, 2006

FORTE SECURITIES LLC

BD
CRD#: 38373
NEW YORK, NY
Past

August 18, 2003 - January 5, 2004

AVATAR ASSOCIATES

RIA
CRD#: 127498
NEW YORK, NY
Past

October 4, 2001 - January 2, 2004

QUASAR DISTRIBUTORS, LLC

BD
CRD#: 103848
PORTLAND, ME
Past

August 3, 2000 - October 4, 2001

FIRST FUND DISTRIBUTORS, INC.

BD
CRD#: 27038
PHOENIX, AZ
Past

August 30, 1999 - May 18, 2000

BLACKROCK INVESTMENTS, LLC

BD
CRD#: 38642
NEW YORK, NY
Past

December 18, 1997 - April 27, 1999

FIRST FUND DISTRIBUTORS, INC.

BD
CRD#: 27038
PHOENIX, AZ
Past

October 20, 1995 - February 14, 1997

BNY MELLON SECURITIES CORPORATION

BD
CRD#: 231
NEW YORK, NY

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".
NY
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA
Registered Investment Advisory firm - (3/20/2000 Approved)

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(8/31/2020)
IAR
New York
(10/26/2021)

Exams

State Security Law Exam
RR
IAR
Series 66
Date: 8/31/2020
Uniform Combined State Law Examination
State Security Law Exam
IAR
Series 65
Date: 2/17/2004
Uniform Investment Adviser Law Examination
State Security Law Exam
RR
Series 63
Date: 10/6/1995
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 1/2/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 12/30/2014
General Securities Representative Examination
General Industry/Product Exam
RR
Series 6
Date: 10/5/1995
Investment Company Products/Variable Contracts Representative Examination
SRO Registrations
RR
FINRA

Current Firm

NY
NEW YORK LIFE INVESTMENT MANAGEMENT LLC
NEW YORK LIFE ASSET MANAGEMENT OPERATING CO LLC | NYLI | NEW YORK LIFE INVESTMENTS | NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591 / SEC#: 801-57396

RIA
Registered Investment Advisory firm - (3/20/2000 Approved)
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Contact information

Main Address
51 Madison Avenue, New York, NY 10010
Mailing Address
Phone number
(888) 474-7725
Established
Firm type
Fiscal year end
# of Employees
349

SEC notice filing (53 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

NYLIM ADV PART 2A JULY 2025 (7/8/2025)

Regulatory assets under management

Total Number of Accounts1,047
AUM (Assets Under Management)$ 113,162,976,263

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.

Company Information

NEW YORK LIFE INVESTMENT MANAGEMENT LLC

CRD#: 109591New York, NY 10010

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