Riziero R. Botta

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CRD#: 4367798

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.

Riziero Richard Botta, who also goes by Richard Richie Botta, Richard Botta, Richie B Botta Jr., Richie Botta, was a registered financial professional .

Riziero is a previously registered financial professional and started their career in finance in 2004. Riziero had worked at 8 firms and has passed the Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Richard Richie Botta | Richard Botta | Richie B Botta Jr. | Richie Botta

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.

worldwide~517 rutgers lane, parsippany, nj 07054~vacations~N~volenteer~02/21/2017~20 hrs/mo~0 trading hrs/mo

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®

None

Experience

Past

February 27, 2023 - December 6, 2024

PRUCO SECURITIES, LLC.

CRD#: 5685

SHELTON, CT

Past

September 8, 2022 - February 28, 2023

MML INVESTORS SERVICES, LLC

CRD#: 10409

SHELTON, CT

Past

June 7, 2021 - September 9, 2022

PRUCO SECURITIES, LLC.

RIA

CRD#: 5685

SHELTON, CT

Past

December 4, 2015 - September 9, 2022

PRUCO SECURITIES, LLC.

CRD#: 5685

SHELTON, CT

Past

November 3, 2015 - December 1, 2015

PRINCIPAL SECURITIES, INC.

CRD#: 1137

PURCHASE, NY

Past

November 10, 2014 - June 16, 2015

PARK AVENUE SECURITIES LLC

CRD#: 46173

NEW YORK, NY

Past

March 6, 2014 - August 20, 2014

NYLIFE SECURITIES LLC

CRD#: 5167

NEW YORK, NY

Past

April 18, 2013 - February 5, 2014

EQUITY SERVICES, INC.

CRD#: 265

NEW YORK, NY

Past

December 7, 2010 - September 15, 2011

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

STATEN ISLAND, NY

Past

March 12, 2010 - July 8, 2010

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

STATEN ISLAND, NY

Past

February 9, 2004 - July 9, 2007

METROPOLITAN LIFE INSURANCE COMPANY

CRD#: 4095

ELMSFORD, NY

Past

February 9, 2004 - August 12, 2008

MSI FINANCIAL SERVICES, INC.

CRD#: 14251

ELMSFORD, 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".

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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

Series 63

Date: 3/8/2014

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 2/7/2004

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/19/2016

Investment Company Products/Variable Contracts Principal Examination

Current Firm

PRUCO SECURITIES, LLC.

PRUCO SECURITIES CORPORATION | PRUDENTIAL FINANCIAL PLANNING SERVICES | PRUCO SECURITIES, LLC. | PRUCO SECURITIES, LLC

CRD#: 5685 / SEC#: 801-52208, 8-16402

RIA

Registered Investment Advisory firm - SEC (6/28/1996 Approved)

Broker-Dealer Firm Regulated by FINRA (Woodbridge district office)

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Contact information

Main Address

751 Broad Street, Newark, NJ 07102-3777

Mailing Address

751 Broad Street, Newark, NJ 07102-3777

Phone number

(973) 802-6000

Established

New Jersey since 09/22/2003

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Medium

# of Employees

387

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

PRUCO SECURITIES, LLC (3/25/2025)

Direct owners and executive officers

Name	Position	CRD#
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA	SOLE MEMBER
FELICIANO, DEXTER MICHAEL	PRESIDENT	5483537
FLORIO, KELLY NICOLE	ANTI-MONEY LAUNDERING OFFICER	6446272
FONTANO, ANTHONY MICHAEL	ELECTED MANAGER	6852155
HYNES, PATRICK LIAM	CHAIRMAN, ELECTED MANAGER	2748918
PATEL, PARANJ	CHIEF COMPLIANCE OFFICER	4235738
SMIT, ROBERT PHILIP	CHIEF FINANCIAL OFFICER, PRINCIPAL FINANCIAL OFFICER, CONTROLLER, PRINCIPAL OPERATIONS OFFICER	2332366
THOMSEN, JORDAN KARSTEN	CHIEF LEGAL OFFICER	2821664

Disclosures

Regulatory Event	30
Arbitration	13
Bond	2

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
01/27/2025	Cover Page	Report
12/22/2023	Cover Page	Report
12/22/2023	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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Advisor Monitoring

Firm Stability Insights

Riziero R. Botta

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

MML INVESTORS SERVICES, LLC

PRUCO SECURITIES, LLC.

PRUCO SECURITIES, LLC.

PRINCIPAL SECURITIES, INC.

PARK AVENUE SECURITIES LLC

NYLIFE SECURITIES LLC

EQUITY SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

MSI FINANCIAL SERVICES, INC.

METROPOLITAN LIFE INSURANCE COMPANY

MSI FINANCIAL SERVICES, INC.

Primary Firm SEC Registration

PRUCO SECURITIES, LLC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/8/2014

SIE

Date: 10/1/2018

Series 6

Date: 2/7/2004

Series 26

Date: 3/19/2016

Current Firm

PRUCO SECURITIES, LLC.

Contact information

SEC notice filing (52 States and Territories)

FINRA licenses (52 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Disclosures

Accountant surprise examination report

Red Flags

Company Information

PRUCO SECURITIES, LLC.

TRUST BUT VERIFY

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