NR
Nicholas R. Riotto
KESTRA PRIVATE WEALTH SERVICES
Sewickley, PA 15143
Some features on this profile are disabled
CRD#: 7471659
NR
Professional summary
Nicholas R Riotto is a registered financial advisor currently at KESTRA PRIVATE WEALTH SERVICES, LLC located in Sewickley, Pennsylvania and KESTRA INVESTMENT SERVICES, LLC located in Austin, Texas.
Nicholas is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2022. Nicholas has worked at 3 firms and has passed the Series 66, Series 7TO and SIE exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
Business Name: PRM HOLDINGS LLC POSITION: Member NATURE: Online Retail INVESTMENT RELATED: No NUMBER OF HOURS: 4 SECURITIES TRADING HOURS: 0 START DATE: 05/27/2021 ADDRESS: 63 S 16th St, Pittsburgh PA 15203 DESCRIPTION: Online shop management, procurement, fulfillment
CRS (Client Relationship Summary) - RIA
Click below to view Nicholas R Riotto'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
September 13, 2023 - Present
KESTRA PRIVATE WEALTH SERVICES, LLC
Office #1: 1603 Carmody Court Suite 401, Sewickley, PA 15143RIA
CRD#: 155193
Sewickley, PA
Current
September 14, 2023 - Present
KESTRA INVESTMENT SERVICES, LLC
Office #1: 5707 Southwest Parkway Building 2, Suite 400, Austin, TX 78735BD
CRD#: 42046
Austin, TX
Past
April 4, 2022 - September 22, 2023
MORGAN STANLEY
RIA
CRD#: 149777
Pittsburgh, PA
Past
April 1, 2022 - September 22, 2023
MORGAN STANLEY
BD
CRD#: 149777
Pittsburgh, PA
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".
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
Registered Investment Advisory firm - (11/22/2010 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
Arizona(9/14/2023)
RR
California(9/14/2023)
RR
Colorado(9/14/2023)
RR
Connecticut(9/14/2023)
RR
Florida(9/14/2023)
RR
Georgia(9/14/2023)
RR
Illinois(9/14/2023)
RR
Indiana(9/14/2023)
RR
Maine(9/14/2023)
RR
Maryland(9/14/2023)
RR
Massachusetts(10/2/2023)
RR
Michigan(9/14/2023)
RR
Mississippi(9/14/2023)
RR
Missouri(9/14/2023)
RR
Nevada(9/14/2023)
RR
New Hampshire(9/14/2023)
RR
New Jersey(9/14/2023)
RR
New Mexico(9/14/2023)
RR
New York(9/14/2023)
RR
North Carolina(9/27/2023)
RR
North Dakota(9/14/2023)
RR
Ohio(9/14/2023)
RR
Oklahoma(10/10/2024)
RR
Oregon(9/14/2023)
IAR
Pennsylvania(9/13/2023)
RR
Pennsylvania(9/14/2023)
RR
South Carolina(9/14/2023)
IAR
Texas(9/13/2023)
RR
Texas(9/14/2023)
RR
Utah(9/14/2023)
RR
Virginia(9/14/2023)
RR
West Virginia(9/14/2023)
RR
Wisconsin(9/14/2023)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 7TO
Date: 4/1/2022
General Securities Representative ExaminationGeneral Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
KP
KESTRA PRIVATE WEALTH SERVICES, LLC
1626 WEALTH MANAGEMENT | WOODS ASSET MANAGEMENT | WASHINGTON WEALTH MANAGEMENT, LLC | WASHINGTON WEALTH MANAGEMENT | VINTAGE WEST CAPITAL MANAGEMENT | TIGER WEALTH MANAGEMENT | STONE BEACON CAPITAL | STEVEN POLLACK & ASSOCIATES | SELECT WEALTH ADVISERS | SADE GROUP PRIVATE WEALTH MANAGEMENT | PSM PRIVATE WEALTH MANAGEMENT | PROSPERITY POINT WEALTH MANAGEMENT | POINT WEST INVESTMENT SOLUTIONS | PACILIO WEALTH MANAGEMENT | PACIFIC POINT ASSET MANAGEMENT | OVERLAKE PARTNERS | MIDDLEBURG WEALTH MANAGEMENT | MARTUCCI ADAMS WEALTH ADVISORS | LANGLEY PACIFIC PARTNERS | KIMBALL CREEK PARTNERS | KESTRA PRIVATE WEALTH SERVICES, LLC | JC WEST & ASSOCIATES | INTRINSIC WEALTH ADVISORS | FREEDOM POINTE WEALTH ADVISORS | FIRST POINT FINANCIAL MANAGEMENT | DOMARI WEALTH MANAGEMENT | DJH FINANCIAL SERVICES | DICKINSON GRAHAM CAPITAL MANAGEMENT | DESIGNS OF FAUQUIER COUNTY | CALIFORNIA WEALTH TRANSITIONS | BARBER INVESTMENT PARTNERS | AVION ASSET MANAGEMENT
CRD#: 155193 / SEC#: 801-71936
RIA
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Contact information
Main Address
5707 Southwest Parkway Bldg. 2 Ste 400, Austin, TX 78735
Mailing Address
Phone number
(844) 553-7872
Established
Firm type
Fiscal year end
# of Employees
198
SEC notice filing (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 27,816 |
| AUM (Assets Under Management) | $ 10,210,576,595 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/23/2024 | ||
| 10/20/2023 | ||
| 12/21/2022 |
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.
