OR
Orlando J. Ricci
PRINCIPAL ADVISED SERVICES
MOORESVILLE, NC 28115
Some features on this profile are disabled
CRD#: 7262312
OR
Professional summary
Orlando John Ricci, who also goes by Orlando Ricci, is a registered financial advisor currently at PRINCIPAL ADVISED SERVICES located in Mooresville, North Carolina and PRINCIPAL SECURITIES, INC. located in Charlotte, North Carolina.
Orlando is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2020. Orlando has worked at 3 firms and has passed the Series 66, Series 63, Series 7TO, Series 6TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
Orlando Ricci
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.
**NCHSAA POSITION: Wrestling Official NATURE: Wrestling Official INVESTMENT RELATED: No NUMBER OF HOURS: 50 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2007 ADDRESS: 10436 Grobie Way, Apt 106, Charlotte NC 28216, United States DESCRIPTION: This is a seasonal position where I officiate wrestling at the high school level. **SCHSAA POSITION: Wrestling Official NATURE: Wrestling Official INVESTMENT RELATED: No NUMBER OF HOURS: 20 SECURITIES TRADING HOURS: 0 START DATE: 10/04/2020 ADDRESS: 10436 Grobie Way, Apt 106, Charlotte NC 28216, United States DESCRIPTION: Wrestling Official - in South Carolina. **INDEPENDENT AUTHOR POSITION: Author NATURE: Author INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 10/01/2011 ADDRESS: 10436 Grobie Way, Apt 106, Charlotte NC 28216, United States DESCRIPTION: I have published 2 novels and am working on a third, which I do not know when I will finish. I make some income off of this, but not much. **ACTOR POSITION: Actor/Film Crew NATURE: Entertainment INVESTMENT RELATED: No NUMBER OF HOURS: 10 SECURITIES TRADING HOURS: 0 START DATE: 04/10/2011 ADDRESS: 10436 Grobie Way, Apt 106, Charlotte NC 28216, United States DESCRIPTION: Part-time Acting and Film Crew. **PRINCIPAL ADVISED SERVICES POSITION: Retirement Consultant NATURE: RIA or IAR outside of PSI INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 130 START DATE: 01/27/2024 ADDRESS: 401 McCullough Drive, Charlotte NC 28262, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest. **PRINCIPAL BANK POSITION: Retirement Consultant NATURE: Bank/Credit Union/Financial Institution Arrangement INVESTMENT RELATED: Yes NUMBER OF HOURS: 160 SECURITIES TRADING HOURS: 160 START DATE: 01/27/2024 ADDRESS: 401 McCullough Dr., Charlotte NC 28262, United States DESCRIPTION: As a Principal Advised Services IAR, I offer one-on-one investment advice to Principal retirement plan participants when eligible for a distribution at benefit event. The investment advice is a recommendation as to which of the retirement plan participant's four distribution options is in their best interest.
CRS (Client Relationship Summary) - RIA
Click below to view Orlando John Ricci'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
February 21, 2024 - Present
PRINCIPAL ADVISED SERVICES
Office #1: 128 Scanlon Rd, Mooresville, NC 28115RIA
CRD#: 297324
MOORESVILLE, NC
Current
January 26, 2022 - Present
PRINCIPAL SECURITIES, INC.
Office #1: 401 Mccullough Dr Ste 200, Charlotte, NC 28262RIA
BD
CRD#: 1137
Charlotte, NC
Past
February 22, 2024 - April 21, 2025
PRINCIPAL SECURITIES, INC.
RIA
CRD#: 1137
DES MOINES, IA
Past
July 24, 2020 - October 11, 2021
NYLIFE SECURITIES LLC
BD
CRD#: 5167
CHARLOTTE, NC
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".
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 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
Alabama(1/26/2022)
RR
Alaska(1/26/2022)
RR
Arizona(1/26/2022)
RR
Arkansas(1/26/2022)
RR
California(1/26/2022)
RR
Colorado(1/26/2022)
RR
Connecticut(1/26/2022)
RR
Delaware(1/26/2022)
RR
District of Columbia(1/26/2022)
RR
Florida(1/26/2022)
RR
Georgia(1/26/2022)
RR
Hawaii(1/26/2022)
RR
Idaho(1/26/2022)
RR
Illinois(1/26/2022)
RR
Indiana(1/26/2022)
RR
Iowa(1/26/2022)
IAR
Iowa(2/21/2024)
RR
Kansas(1/26/2022)
RR
Kentucky(1/26/2022)
RR
Louisiana(1/26/2022)
RR
Maine(1/26/2022)
RR
Maryland(1/26/2022)
RR
Massachusetts(1/26/2022)
RR
Michigan(1/26/2022)
RR
Minnesota(1/26/2022)
RR
Mississippi(1/26/2022)
RR
Missouri(1/26/2022)
RR
Montana(1/26/2022)
RR
Nebraska(1/26/2022)
RR
Nevada(1/26/2022)
RR
New Hampshire(1/26/2022)
RR
New Jersey(1/26/2022)
RR
New Mexico(1/26/2022)
RR
New York(1/26/2022)
RR
North Carolina(1/26/2022)
IAR
North Carolina(2/21/2024)
RR
North Dakota(1/26/2022)
RR
Ohio(1/26/2022)
RR
Oklahoma(1/26/2022)
RR
Oregon(1/26/2022)
RR
Pennsylvania(1/26/2022)
RR
Rhode Island(1/26/2022)
RR
South Carolina(1/26/2022)
RR
South Dakota(1/26/2022)
RR
Tennessee(1/26/2022)
RR
Texas(1/26/2022)
RR
Utah(1/26/2022)
RR
Vermont(1/26/2022)
RR
Virginia(1/26/2022)
RR
Washington(1/26/2022)
RR
West Virginia(1/26/2022)
RR
Wisconsin(1/26/2022)
RR
Wyoming(1/26/2022)
Exams
State Security Law Exam
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 11/11/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
RR
Series 6TO
Date: 7/24/2020
Investment Company Products/Variable Contracts Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
PA
PRINCIPAL ADVISED SERVICES
PRINCIPAL ADVISED SERVICES | PRINCIPAL ADVISED SERVICES, LLC
CRD#: 297324 / SEC#: 801-114432
RIA
Registered Investment Advisory firm - (12/14/2018 Approved)Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
655 9th Street, Des Moines, IA 50309
Mailing Address
711 High Street, Des Moines, IA 50392
Phone number
(866) 412-0770
Established
Firm type
Fiscal year end
# of Employees
343
SEC notice filing (51 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 16,940 |
| AUM (Assets Under Management) | $ 887,316,440 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 09/26/2025 | ||
| 10/28/2024 | ||
| 11/20/2023 | ||
| 09/22/2023 | ||
| 12/20/2022 |
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
PRINCIPAL ADVISED SERVICES
CRD#: 297324Mooresville, NC 28115TRUST BUT VERIFY
Monitor Orlando Ricci
Get automatic monthly alerts on:Job or Firm Moves
Licensing Changes
Client Complaints
New Red Flags
Contact Information Updates
