David A. Rioux

RIOUX & COMPANY

Burlington, CT

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CRD#: 710871

Professional summary

David Arthur Rioux, who also goes by David A Rioux, is a registered financial advisor currently at RIOUX & COMPANY, LLC located in Burlington, Connecticut.

David is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1980. David has worked at 8 firms and has passed the Series 65, Series 63, Series 5, Series 7, Series 27, Series 53, Series 24 and Series 4 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

David A Rioux

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 David Arthur Rioux'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®

None

Experience

Current

December 19, 2012 - Present

RIOUX & COMPANY, LLC

RIA

CRD#: 42043

Burlington, CT

Past

March 27, 2006 - September 10, 2007

NEWALLIANCE INVESTMENTS, INC.

CRD#: 126880

BRISTOL, CT

Past

March 13, 2006 - December 31, 2011

RIOUX & COMPANY, LLC

RIA

CRD#: 42043

BRISTOL, CT

Past

December 20, 1997 - January 23, 2006

RIOUX & COMPANY, LLC

CRD#: 42043

BRISTOL, CT

Past

June 11, 1996 - December 31, 2005

RIOUX & COMPANY, LLC

RIA

CRD#: 42043

BURLINGTON, CT

Past

February 2, 1996 - May 29, 1996

FLEET BROKERAGE SECURITIES, INC.

CRD#: 7313

NEW YORK, NY

Past

June 15, 1988 - April 8, 1991

SBS DISCOUNT BROKERAGE

CRD#: 17600

Past

April 6, 1987 - February 6, 1996

SHAWMUT BROKERAGE, INC.

CRD#: 17081

Past

March 5, 1984 - January 7, 1987

SECURITIES SETTLEMENT CORPORATION

CRD#: 7129

Past

January 6, 1984 - February 24, 1984

ADVEST, INC.

CRD#: 10

Past

August 26, 1981 - December 27, 1983

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

Past

July 1, 1980 - August 3, 1981

ADVEST, INC.

CRD#: 10

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

Connecticut
(12/19/2012)

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 65

Date: 12/11/1995

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/12/1981

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 5

Date: 10/15/1981

Interest Rate Options Examination

General Industry/Product Exam

Series 7

Date: 6/21/1980

General Securities Representative Examination

Principal/Supervisory Exam

Series 27

Date: 2/15/1989

Financial and Operations Principal Examination

Principal/Supervisory Exam

Series 53

Date: 9/4/1987

Municipal Securities Principal Examination

Principal/Supervisory Exam

Series 24

Date: 12/14/1984

General Securities Principal Examination

Principal/Supervisory Exam

Series 4

Date: 4/20/1981

Registered Options Principal Examination

Current Firm

RIOUX & COMPANY, LLC

RIOUX & COMPANY, LLC | RIOUX, BROWN AND COMPANY, LLC | RIOUX & COMPANY, LLC/RIOX WEALTH MANAGEMENT

CRD#: 42043 / SEC#: 801-64933, 8-49670

RIA

Registered Investment Advisory firm - SEC (2/6/2013 Cancelled)

Connecticut

Registered Investment Advisory firm - SEC (1/2/2013 Approved)

Terminated by SEC on 01/21/2006

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Contact information

Main Address

Burlington, CT

Mailing Address

P.o. Box 958, Bristol, CT 06011-0958

Phone number

(860) 589-8754

Established

Connecticut since 04/25/1996

Firm type

Limited Liability Company

Fiscal year end

December

# of Employees

Documents

Latest Form ADV

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

Red Flags

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Check for any disclosures as part of your thorough research when choosing an advisor.

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Advisor Monitoring

Firm Stability Insights

David A. Rioux

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view David Arthur Rioux's CRS (Customer Relationship Summary).

Certified licenses

Experience

NEWALLIANCE INVESTMENTS, INC.

RIOUX & COMPANY, LLC

RIOUX & COMPANY, LLC

RIOUX & COMPANY, LLC

FLEET BROKERAGE SECURITIES, INC.

SBS DISCOUNT BROKERAGE

SHAWMUT BROKERAGE, INC.

SECURITIES SETTLEMENT CORPORATION

ADVEST, INC.

CITIGROUP GLOBAL MARKETS INC.

ADVEST, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 12/11/1995

Series 63

Date: 10/12/1981

Series 5

Date: 10/15/1981

Series 7

Date: 6/21/1980

Series 27

Date: 2/15/1989

Series 53

Date: 9/4/1987

Series 24

Date: 12/14/1984

Series 4

Date: 4/20/1981

Current Firm

RIOUX & COMPANY, LLC

Contact information

Documents

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

RIOUX & COMPANY, LLC

TRUST BUT VERIFY

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