Michael G. Riccardi

UNITED ASSET STRATEGIES

Garden City, NY 11530

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CRD#: 5740523

Professional summary

Michael Guy Riccardi, CFP®, who also goes by Guy Michael Riccardi, is a registered financial advisor currently at UNITED ASSET STRATEGIES INC. located in Garden City, New York.

Michael is registered as an IAR (Investment Advisor Representative) and started their career in finance in 2010. Michael has worked at 2 firms and has passed the Series 63 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Guy Michael Riccardi

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.

UNITED FINANCIAL GROUP, LTD.; INVESTMENT RELATED; 377 OLD COUNTRY ROAD, SUITE 403, GARDEN CITY, NEW YORK 11530; INSURANCE SALES; FINANCIAL ADVISOR; START DATE 09/01/2009; FIVE HOURS PER MONTH; FIVE HOURS PER MONTH DURING SECURITIES TRADING HOURS.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Guy Riccardi'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®

CFP^®

Certified Financial Planner

Experience

Current

November 28, 2018 - Present

UNITED ASSET STRATEGIES INC.

Office #1: 377 Oak Street Suite 403, Garden City, NY 11530

RIA

CRD#: 107434

Garden City, NY

Past

March 22, 2010 - February 25, 2014

UNITED FINANCIAL GROUP, LTD

CRD#: 43250

GARDEN CITY, 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".

UNITED ASSET STRATEGIES INC.

CRD#: 107434 / SEC#: 801-41464

RIA

Registered Investment Advisory firm - (6/9/1992 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

Florida
(11/28/2018)

IAR

New York
(7/6/2021)

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: 3/15/2010

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 7

Date: 1/5/2010

General Securities Representative Examination

Current Firm

UNITED ASSET STRATEGIES INC.

CRD#: 107434 / SEC#: 801-41464

RIA

Registered Investment Advisory firm - (6/9/1992 Approved)

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Contact information

Main Address

377 Oak Street Suite 403, Garden City, NY 11530

Mailing Address

Phone number

(516) 222-0021

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (24 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

MARCH 2025 FIRM BROCHURE AND BROCHURE SUPPLEMENT (3/28/2025)

Regulatory assets under management

Total Number of Accounts	4,029
AUM (Assets Under Management)	$ 1,844,600,000

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/13/2025	Cover Page	Report
01/27/2025	Cover Page	Report
09/04/2024	Cover Page	Report
12/20/2023	Cover Page	Report
01/23/2023	Cover Page	Report
05/02/2022	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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Michael G. Riccardi

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Michael Guy Riccardi's CRS (Customer Relationship Summary).

Certified licenses

Experience

UNITED ASSET STRATEGIES INC.

UNITED FINANCIAL GROUP, LTD

Primary Firm SEC Registration

UNITED ASSET STRATEGIES INC.

State Registrations and Notice Filings

Exams

Series 63

Date: 3/15/2010

Series 7

Date: 1/5/2010

Current Firm

UNITED ASSET STRATEGIES INC.

Contact information

SEC notice filing (24 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

UNITED ASSET STRATEGIES INC.

TRUST BUT VERIFY

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