Stephen J. Savino
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.
Stephen J Savino was a registered financial professional .
Stephen is a previously registered financial professional and started their career in finance in 2002. Stephen had worked at 1 firm and has passed the Series 65 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 10, 2013 - February 26, 2021
RIOUX & COMPANY, LLC
March 13, 2006 - December 31, 2011
RIOUX & COMPANY, LLC
June 21, 2002 - December 31, 2005
RIOUX & COMPANY, LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Current Firm
RIOUX & COMPANY, LLC
CRD#: 42043 / SEC#: 801-64933, 8-49670
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RIOUX, DAVID ARTHUR | MANAGING DIRECTOR CCO; CROP; SROP. | 710871 |
| RIOUX CAPITAL PARTNERS, LLC | OWNER |
Regulatory assets under management
| Total Number of Accounts | 123 |
| AUM (Assets Under Management) | $ 20,463,947 |
Disclosures
| Regulatory Event | 1 |
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.
