Maria Riggi

FEDERATED INVESTMENT COUNSELING

Lincoln University, PA

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CRD#: 4963928

Professional summary

Maria Riggi, who also goes by Maria E Riggi, is a registered financial advisor currently at FEDERATED INVESTMENT COUNSELING located in Lincoln University, Pennsylvania and FEDERATED SECURITIES CORP. located in Pittsburgh, Pennsylvania.

Maria is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2005. Maria has worked at 7 firms and has passed the Series 66, SIE, Series 31 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Maria E Riggi

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 Maria Riggi'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

March 9, 2015 - Present

FEDERATED INVESTMENT COUNSELING

RIA

CRD#: 105325

Lincoln University, PA

Current

January 28, 2015 - Present

FEDERATED SECURITIES CORP.

Office #1: 1001 Liberty Avenue, Pittsburgh, PA 15222-3779

RIA

CRD#: 5009

Pittsburgh, PA

Past

July 28, 2010 - November 11, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

RIA

CRD#: 7691

NEW YORK, NY

Past

July 21, 2010 - November 11, 2013

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

CRD#: 7691

NEW YORK, NY

Past

September 29, 2006 - July 22, 2010

BLACKROCK INVESTMENT MANAGEMENT, LLC

RIA

CRD#: 108928

PLAINSBORO, NJ

Past

September 29, 2006 - July 19, 2010

BLACKROCK INVESTMENTS, LLC

CRD#: 38642

NEW YORK, NY

Past

December 7, 2005 - September 29, 2006

MERRILL LYNCH INVESTMENT MANAGERS LP

RIA

CRD#: 105068

PLAINSBORO, NJ

Past

June 29, 2005 - September 29, 2006

FAM DISTRIBUTORS, INC.

CRD#: 4100

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".

FEDERATED INVESTMENT COUNSELING

FEDERATED HERMES CW HENDERSON DIVISION | FEDERATED INVESTMENT COUNSELING (INCLUDING ITS FEDERATED HERMES CW HENDERSON DIVISION) | FEDERATED INVESTMENT COUNSELING | FEDERATED HERMES CW HENDERSON, A DIVISION OF FEDERATED INVESTMENT COUNSELING

CRD#: 105325 / SEC#: 801-34611

RIA

Registered Investment Advisory firm - (6/12/1989 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

Pennsylvania
(3/9/2015)

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

IAR

Series 66

Date: 9/1/2005

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 31

Date: 8/4/2010

Futures Managed Funds Examination

General Industry/Product Exam

Series 7

Date: 6/27/2005

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

FEDERATED INVESTMENT COUNSELING

CRD#: 105325 / SEC#: 801-34611

RIA

Registered Investment Advisory firm - (6/12/1989 Approved)

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Contact information

Main Address

1001 Liberty Avenue, Pittsburgh, PA 15222-3779

Mailing Address

Phone number

(412) 288-1900

Established

Firm type

Fiscal year end

# of Employees

213

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

FIC SUMMARY OF CHANGES (3/14/2025)

2025 FIC FORM ADV PART 2 (3/14/2025)

Regulatory assets under management

Total Number of Accounts	8,579
AUM (Assets Under Management)	$ 199,641,239,415

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
12/23/2024	Cover Page	Report
10/11/2023	Cover Page	Report
07/29/2022	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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Maria Riggi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Maria Riggi's CRS (Customer Relationship Summary).

Certified licenses

Experience

FEDERATED SECURITIES CORP.

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED

BLACKROCK INVESTMENT MANAGEMENT, LLC

BLACKROCK INVESTMENTS, LLC

MERRILL LYNCH INVESTMENT MANAGERS LP

FAM DISTRIBUTORS, INC.

Primary Firm SEC Registration

FEDERATED INVESTMENT COUNSELING

State Registrations and Notice Filings

Exams

Series 66

Date: 9/1/2005

SIE

Date: 10/1/2018

Series 31

Date: 8/4/2010

Series 7

Date: 6/27/2005

FINRA

Current Firm

FEDERATED INVESTMENT COUNSELING

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

FEDERATED INVESTMENT COUNSELING

TRUST BUT VERIFY

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