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RG

Richard Giannotti

RFG ADVISORY
Lauderdale By The Sea, FL 33308
Some features on this profile are disabled
CRD#: 6482048
RG

Professional summary

Richard Giannotti II, who also goes by Richard James Giannotti II, Richard Giannotti, Richard James Giannotti, is a registered financial advisor currently at RFG ADVISORY, LLC located in Lauderdale By The Sea, Florida and PRIVATE CLIENT SERVICES, LLC located in Lauderdale By The Sea, Florida.

Richard is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2015. Richard has worked at 5 firms and has passed the Series 65, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?
Yes

Aliases

Richard James Giannotti Ii | Richard Giannotti | Richard James Giannotti

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 Richard Giannotti II'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

May 12, 2025 - Present

RFG ADVISORY, LLC

Office #1: 218 Commercial Blvd Suite 235, Lauderdale By The Sea, FL 33308
RIA
CRD#: 158401
Lauderdale By The Sea, FL
Current

June 11, 2025 - Present

PRIVATE CLIENT SERVICES, LLC

Office #1: 218 Commercial Blvd Suite 235, Lauderdale By The Sea, FL 33308
RIA
BD
CRD#: 120222
Lauderdale By the Sea, FL
Past

January 7, 2025 - May 12, 2025

MADISON AVENUE SECURITIES, LLC

BD
CRD#: 23224
FORT LAUDERDALE, FL
Past

January 16, 2018 - December 8, 2023

MADISON AVENUE SECURITIES, LLC

BD
CRD#: 23224
Fort Lauderdale, FL
Past

April 13, 2017 - May 12, 2025

GLOBAL WEALTH MANAGEMENT INVESTMENT ADVISORY, INC.

RIA
CRD#: 286005
FORT LAUDERDALE, FL
Past

April 27, 2015 - January 8, 2018

GLOBAL FINANCIAL PRIVATE CAPITAL, INC.

RIA
CRD#: 132070
FORT LAUDERDALE, FL

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".
RA
RFG ADVISORY, LLC
21:5 ADVISORS WEALTH MANAGEMENT | WINGO WEALTH | WILLOW PRIVATE WEALTH | WILLIAMS FINANCIAL ADVISORS, LLC "WFA" | VOLARE WEALTH ADVISORS | TURNPOINT WEALTH | TREKNORTH INVESTMENT MANAGEMENT | THE WORLEY BANKS GROUP | SUSKO WEALTH ADVISORS | STRODTMAN WEALTH MANAGEMENT | STONES RIVER WEALTH MANAGEMENT | SIXPOINT FINANCIAL PARTNERS | SABLE POINT WEALTH MANAGEMENT | RVA WEALTH MANAGEMENT | ROUTE FINANCIAL GROUP | RJB FINANCIAL PLANNING | RIVER OAK ASSET ADVISORY | RFG ADVISORY, LLC | RFG ADVISORY GROUP, LLC | RFG ADVISORY | RESOLUTE WEALTH MANAGEMENT | RELIANCE FINANCIAL GROUP | POWDER POINT WEALTH MANAGEMENT | PARAMOUNT FINANCIAL PLANNING | NAVIPATH FINANCIAL | META PRIVATE WEALTH | MATTERHORN PRIVATE WEALTH | LIND WEALTH MANAGEMENT | LICATA FINANCIAL DESIGN | LEMZAR CAPITAL | LEALAND WEALTH PARTNERS | LANDSCAPE WEALTH ADVISORS | L7 WEALTH | KWM WEALTH | KUBERA WEALTH MANAGEMENT | ITER FINANCIAL WELLNESS | INVESTOR'S RESOURCE | INVESTA FINANCIAL PLANNING | IN SEASON FINANCIAL GROUP | GROUNDED FINANCIAL PLANNING | GFG WEALTH ADVISORS | GALLIA WEALTH MANAGEMENT GROUP | FREEMAN WEALTH MANAGEMENT | FOUR SEASONS WEALTH MANAGEMENT | FOUR SEASONS FINANCIAL EDUCATION | EXECUTIVE COMPENSATION GROUP | ETA INVESTMENTS | ETA INVESTMENT & TAX ADVISORS | ENTERPRISE INVESTMENT PLANNING | EDUCATOR RETIREMENT SOLUTIONS | EDUCATOR PENSION RESOURCES | EDGEWOOD WEALTH ADVISORS | DESIGN WEALTH ADVISORS | CURATO ADVISORY | CROSS TIMBERS FINANCIAL GROUP | CRESCENT PRIVATE WEALTH | COPPER PASS ADVISORY | COPE PRIVATE WEALTH | COOPER TOWER WEALTH | CONFIDENCE FINANCIAL PARTNERS | CMC FINANCIAL | CHEAHA WEALTH MANAGEMENT | CARDINAL ASSET ADVISORY | CAMBIUM WEALTH PARTNERS | BRIANNE FINANCIAL | BLUEBIRD ADVISORY | BLUE SANDS WEALTH MANAGEMENT | BLAKE WEALTH MANAGEMENT | BILLINGS GROUP | BAYVIEW PRIVATE WEALTH | BARRETT CAPITAL ADVISORY | BALANCEPOINT FINANCIAL | BALANCE WEALTH PARTNERS | ARIV WEALTH | APPLE TREE LANE WEALTH MANAGEMENT | ANCHORING CAPITAL | AIMWELL FINANCIAL | AFIA WEALTH MANAGEMENT

CRD#: 158401 / SEC#: 801-79153

RIA
Registered Investment Advisory firm - (2/6/2014 Approved)
Alabama
Registered Investment Advisory firm - (2/27/2014 Terminated)
Florida
Registered Investment Advisory firm - (2/18/2014 Terminated)
Georgia
Registered Investment Advisory firm - (2/18/2014 Terminated)
Louisiana
Registered Investment Advisory firm - (2/28/2014 Terminated)
Texas
Registered Investment Advisory firm - (2/18/2014 Terminated)

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

IAR
Florida
(5/14/2025)
RR
Florida
(6/11/2025)
IAR
Texas
(5/12/2025)

Exams

State Security Law Exam
IAR
Series 65
Date: 4/2/2015
Uniform Investment Adviser Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 1/16/2018
General Securities Representative Examination
SRO Registrations
RR
FINRA

Current Firm

RA
RFG ADVISORY, LLC
21:5 ADVISORS WEALTH MANAGEMENT | WINGO WEALTH | WILLOW PRIVATE WEALTH | WILLIAMS FINANCIAL ADVISORS, LLC "WFA" | VOLARE WEALTH ADVISORS | TURNPOINT WEALTH | TREKNORTH INVESTMENT MANAGEMENT | THE WORLEY BANKS GROUP | SUSKO WEALTH ADVISORS | STRODTMAN WEALTH MANAGEMENT | STONES RIVER WEALTH MANAGEMENT | SIXPOINT FINANCIAL PARTNERS | SABLE POINT WEALTH MANAGEMENT | RVA WEALTH MANAGEMENT | ROUTE FINANCIAL GROUP | RJB FINANCIAL PLANNING | RIVER OAK ASSET ADVISORY | RFG ADVISORY, LLC | RFG ADVISORY GROUP, LLC | RFG ADVISORY | RESOLUTE WEALTH MANAGEMENT | RELIANCE FINANCIAL GROUP | POWDER POINT WEALTH MANAGEMENT | PARAMOUNT FINANCIAL PLANNING | NAVIPATH FINANCIAL | META PRIVATE WEALTH | MATTERHORN PRIVATE WEALTH | LIND WEALTH MANAGEMENT | LICATA FINANCIAL DESIGN | LEMZAR CAPITAL | LEALAND WEALTH PARTNERS | LANDSCAPE WEALTH ADVISORS | L7 WEALTH | KWM WEALTH | KUBERA WEALTH MANAGEMENT | ITER FINANCIAL WELLNESS | INVESTOR'S RESOURCE | INVESTA FINANCIAL PLANNING | IN SEASON FINANCIAL GROUP | GROUNDED FINANCIAL PLANNING | GFG WEALTH ADVISORS | GALLIA WEALTH MANAGEMENT GROUP | FREEMAN WEALTH MANAGEMENT | FOUR SEASONS WEALTH MANAGEMENT | FOUR SEASONS FINANCIAL EDUCATION | EXECUTIVE COMPENSATION GROUP | ETA INVESTMENTS | ETA INVESTMENT & TAX ADVISORS | ENTERPRISE INVESTMENT PLANNING | EDUCATOR RETIREMENT SOLUTIONS | EDUCATOR PENSION RESOURCES | EDGEWOOD WEALTH ADVISORS | DESIGN WEALTH ADVISORS | CURATO ADVISORY | CROSS TIMBERS FINANCIAL GROUP | CRESCENT PRIVATE WEALTH | COPPER PASS ADVISORY | COPE PRIVATE WEALTH | COOPER TOWER WEALTH | CONFIDENCE FINANCIAL PARTNERS | CMC FINANCIAL | CHEAHA WEALTH MANAGEMENT | CARDINAL ASSET ADVISORY | CAMBIUM WEALTH PARTNERS | BRIANNE FINANCIAL | BLUEBIRD ADVISORY | BLUE SANDS WEALTH MANAGEMENT | BLAKE WEALTH MANAGEMENT | BILLINGS GROUP | BAYVIEW PRIVATE WEALTH | BARRETT CAPITAL ADVISORY | BALANCEPOINT FINANCIAL | BALANCE WEALTH PARTNERS | ARIV WEALTH | APPLE TREE LANE WEALTH MANAGEMENT | ANCHORING CAPITAL | AIMWELL FINANCIAL | AFIA WEALTH MANAGEMENT

CRD#: 158401 / SEC#: 801-79153

RIA
Registered Investment Advisory firm - (2/6/2014 Approved)
Alabama
Registered Investment Advisory firm - (2/27/2014 Terminated)
Florida
Registered Investment Advisory firm - (2/18/2014 Terminated)
Georgia
Registered Investment Advisory firm - (2/18/2014 Terminated)
Louisiana
Registered Investment Advisory firm - (2/28/2014 Terminated)
Texas
Registered Investment Advisory firm - (2/18/2014 Terminated)
PREMIUM
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Contact information

Main Address
1400 Urban Center Drive Suite 475, Vestavia Hills, AL 35242-2245
Mailing Address
Phone number
(205) 397-2450
Established
Firm type
Fiscal year end
# of Employees
277

SEC notice filing (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / SEC)Latest Form ADV

Part 2 Brochures

ADV PART 2A FIRM BROCHURE (10/8/2025)

Regulatory assets under management

Total Number of Accounts23,999
AUM (Assets Under Management)$ 6,120,333,343

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.

Company Information

RFG ADVISORY, LLC

CRD#: 158401Lauderdale By The Sea, FL 33308

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