Brian M. Riordan

L. ROY PAPP & ASSOCIATES, LLP

Phoenix, AZ 85016

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CRD#: 2846934

Professional summary

Brian Michael Riordan is a registered financial advisor currently at L. ROY PAPP & ASSOCIATES, LLP located in Phoenix, Arizona.

Brian is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1998. Brian has worked at 3 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

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) - RIA

Click below to view Brian Michael Riordan'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

May 7, 2012 - Present

L. ROY PAPP & ASSOCIATES, LLP

Office #1: 2201 E. Camelback Road Suite 227b, Phoenix, AZ 85016

RIA

CRD#: 105130

Phoenix, AZ

Past

June 22, 1999 - July 12, 2000

SANFORD C. BERNSTEIN & CO., INC.

CRD#: 1232

NEW YORK, NY

Past

July 10, 1998 - May 10, 1999

NEUBERGER BERMAN MANAGEMENT LLC

CRD#: 5493

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".

L. ROY PAPP & ASSOCIATES, LLP

L ROY PAPP & ASSOCIATES | L. ROY PAPP & ASSOCIATES, LLP | L. ROY PAPP & ASSOCIATES

CRD#: 105130 / SEC#: 801-35594

RIA

Registered Investment Advisory firm - (10/1/1989 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.

Highlighted states indicate IAR registrations

IAR

Arizona
(5/7/2012)

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

Series 63

Date: 1/13/1999

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 7/9/1998

General Securities Representative Examination

Current Firm

L. ROY PAPP & ASSOCIATES, LLP

L ROY PAPP & ASSOCIATES | L. ROY PAPP & ASSOCIATES, LLP | L. ROY PAPP & ASSOCIATES

CRD#: 105130 / SEC#: 801-35594

RIA

Registered Investment Advisory firm - (10/1/1989 Approved)

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Contact information

Main Address

2201 E. Camelback Road Suite 227b, Phoenix, AZ 85016

Mailing Address

Phone number

(602) 956-0980

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (13 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

L. ROY PAPP PART 2A MARCH 2023 (1/24/2025)

Regulatory assets under management

Total Number of Accounts	1,833
AUM (Assets Under Management)	$ 1,534,106,429

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
09/29/2025	Cover Page	Report
04/09/2025	Cover Page	Report
03/13/2024	Cover Page	Report
04/10/2023	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.

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Brian M. Riordan

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Brian Michael Riordan's CRS (Customer Relationship Summary).

Certified licenses

Experience

L. ROY PAPP & ASSOCIATES, LLP

SANFORD C. BERNSTEIN & CO., INC.

NEUBERGER BERMAN MANAGEMENT LLC

Primary Firm SEC Registration

L. ROY PAPP & ASSOCIATES, LLP

State Registrations and Notice Filings

Exams

Series 63

Date: 1/13/1999

Series 7

Date: 7/9/1998

Current Firm

L. ROY PAPP & ASSOCIATES, LLP

Contact information

SEC notice filing (13 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

L. ROY PAPP & ASSOCIATES, LLP

TRUST BUT VERIFY

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