DR
David A. Riccio
LADENBURG THALMANN ASSET MANAGEMENT
Miami, FL
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CRD#: 4734960
DR
Professional summary
David Alfred Riccio is a registered financial advisor currently at LADENBURG THALMANN ASSET MANAGEMENT INC located in Miami, Florida and LADENBURG THALMANN & CO. INC. located in Boca Raton, Florida.
David is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2003. David has worked at 4 firms and has passed the Series 66, SIE 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.
CRS (Client Relationship Summary) - RIA
Click below to view David Alfred Riccio's 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®
NoneExperience
Current
October 3, 2006 - Present
LADENBURG THALMANN ASSET MANAGEMENT INC
RIA
CRD#: 108604
Miami, FL
Current
September 22, 2006 - Present
LADENBURG THALMANN & CO. INC.
Office #1: 2255 Glades Road, Suite 324a, Boca Raton, FL 33431BD
CRD#: 505
Boca Raton, FL
Past
April 15, 2004 - September 25, 2006
KBR CAPITAL MARKETS, LLC
BD
CRD#: 128800
NEW YORK, NY
Past
December 8, 2003 - April 16, 2004
NORTHEAST SECURITIES, LLC
BD
CRD#: 25996
MITCHELFIELD, 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".
LT
LADENBURG THALMANN ASSET MANAGEMENT INC
GORDON WEALTH | THE CUNDY GROUP | THE BRESLIN GROUP | LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
RIA
Registered Investment Advisory firm - (10/16/1997 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
California(9/22/2006)
IAR
California(6/10/2021)
RR
Colorado(4/26/2024)
RR
Connecticut(9/22/2006)
RR
Florida(9/22/2006)
IAR
Florida(3/1/2013)
RR
Hawaii(12/5/2018)
RR
Idaho(5/1/2024)
RR
Illinois(9/22/2006)
IAR
Illinois(6/15/2021)
RR
Maryland(9/22/2006)
RR
Massachusetts(9/22/2006)
IAR
Massachusetts(5/13/2020)
RR
Michigan(9/22/2006)
IAR
Michigan(6/14/2021)
RR
Nevada(9/22/2006)
IAR
Nevada(6/25/2021)
RR
New Jersey(9/22/2006)
IAR
New Jersey(10/3/2006)
RR
New York(9/22/2006)
IAR
New York(4/1/2021)
IAR
North Carolina(4/7/2021)
RR
North Carolina(1/27/2025)
IAR
Ohio(3/6/2021)
RR
Ohio(1/31/2025)
RR
Oregon(9/22/2006)
IAR
Oregon(4/23/2021)
RR
Pennsylvania(9/22/2006)
IAR
Pennsylvania(6/10/2021)
RR
Rhode Island(9/22/2006)
IAR
Rhode Island(5/28/2020)
RR
Texas(9/22/2006)
IAR
Texas(10/28/2015)
RR
Virginia(4/29/2024)
RR
Washington(2/1/2021)
IAR
Washington(4/7/2021)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
NYSE Arca, Inc.
SRO Registrations
RR
NYSE Texas, Inc.
SRO Registrations
RR
Nasdaq Stock Market
SRO Registrations
RR
New York Stock Exchange
Current Firm
LT
LADENBURG THALMANN ASSET MANAGEMENT INC
GORDON WEALTH | THE CUNDY GROUP | THE BRESLIN GROUP | LADENBURG THALMANN ASSET MANAGEMENT INC
CRD#: 108604 / SEC#: 801-54909
RIA
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Contact information
Main Address
640 Fifth Avenue 4th Fl., New York, NY 10019
Mailing Address
Phone number
(800) 995-5267
Established
Firm type
Fiscal year end
# of Employees
33
SEC notice filing (53 States and Territories)
Documents
Part 2 Brochures
Regulatory assets under management
| Total Number of Accounts | 3,334 |
| AUM (Assets Under Management) | $ 5,611,078,759 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
