Stephen A. Rigali

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT

LOS ANGELES, CA 90067

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CRD#: 870258

Professional summary

Stephen Anthony Rigali is a registered financial advisor currently at KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC located in Los Angeles, California and VP DISTRIBUTORS LLC located in Los Angeles, California.

Stephen is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1979. Stephen has worked at 6 firms and has passed the Series 63, SIE, Series 7, Series 9, Series 10, Series 24 and Series 8 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.

TARANTULA HILL BREWING COMPANY, 244 THOUSAND OAKS BLVD, THOUSAND OAKS CA 91360; BUSINESS IS NOT INVESTMENT RELATED; NATURE OF BUSINESS: BREWING COMPANY; POSITION: BOARD MEMBER; START DATE: 1/1/18; 1 HR MONTHLY DEVOTED TO BUSINESS; DUTIES: PARTICIPATE IN MONTHLY CALLS

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Anthony Rigali'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

September 12, 2003 - Present

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

Office #1: 2000 Avenue Of The Stars, Suite 1110, Los Angeles, CA 90067

RIA

CRD#: 104599

LOS ANGELES, CA

Current

December 19, 2005 - Present

VP DISTRIBUTORS LLC

Office #1: 2000 Avenue Of The Stars Suite 1110, Los Angeles, CA 90067

CRD#: 3036

Los Angeles, CA

Past

June 15, 2005 - September 28, 2005

KA ASSOCIATES, LLC

CRD#: 32029

LOS ANGELES, CA

Past

June 28, 2002 - June 14, 2005

VP DISTRIBUTORS LLC

CRD#: 3036

HARTFORD, CT

Past

November 8, 1993 - July 8, 2002

KA ASSOCIATES, LLC

CRD#: 32029

LOS ANGELES, CA

Past

July 17, 1991 - November 28, 1994

KAYNE, ANDERSON & CO., INC.

CRD#: 14961

Past

May 14, 1988 - July 2, 1991

LEHMAN BROTHERS INC.

CRD#: 7506

NEW YORK, NY

Past

August 24, 1979 - May 14, 1988

E. F. HUTTON & COMPANY INC

CRD#: 235

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".

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

KAYNE ANDERSON INVESTMENT MANAGEMENT LLC | KAYNE ANDERSON RUDNICK WEALTH ADVISORS | KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

CRD#: 104599 / SEC#: 801-24241

RIA

Registered Investment Advisory firm - (5/22/1985 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.

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

California
(9/12/2003)

California
(12/19/2005)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 11/9/1983

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 8/18/1979

General Securities Representative Examination

Principal/Supervisory Exam

Series 9

Date: 1/2/2023

General Securities Sales Supervisor - Options Module Examination

Principal/Supervisory Exam

Series 10

Date: 1/2/2023

General Securities Sales Supervisor - General Module Examination

Principal/Supervisory Exam

Series 24

Date: 9/27/2007

General Securities Principal Examination

Principal/Supervisory Exam

Series 8

Date: 1/21/1985

General Securities Sales Supervisor Examination (Options Module & General Module)

SRO Registrations

FINRA

Current Firm

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

KAYNE ANDERSON INVESTMENT MANAGEMENT LLC | KAYNE ANDERSON RUDNICK WEALTH ADVISORS | KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

CRD#: 104599 / SEC#: 801-24241

RIA

Registered Investment Advisory firm - (5/22/1985 Approved)

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Contact information

Main Address

2000 Avenue Of The Stars Suite 1110, Los Angeles, CA 90067

Mailing Address

Phone number

(310) 556-2721

Established

Firm type

Fiscal year end

# of Employees

119

SEC notice filing (53 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

KAR ADV PART 2A 3/26/2025 (3/26/2025)

Regulatory assets under management

Total Number of Accounts	27,435
AUM (Assets Under Management)	$ 45,493,862,358

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.

Contact information

xxxxx@xxxx.xxx

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Stephen A. Rigali

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Stephen Anthony Rigali's CRS (Customer Relationship Summary).

Certified licenses

Experience

VP DISTRIBUTORS LLC

KA ASSOCIATES, LLC

VP DISTRIBUTORS LLC

KA ASSOCIATES, LLC

KAYNE, ANDERSON & CO., INC.

LEHMAN BROTHERS INC.

E. F. HUTTON & COMPANY INC

Primary Firm SEC Registration

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 63

Date: 11/9/1983

SIE

Date: 10/1/2018

Series 7

Date: 8/18/1979

Series 9

Date: 1/2/2023

Series 10

Date: 1/2/2023

Series 24

Date: 9/27/2007

Series 8

Date: 1/21/1985

FINRA

Current Firm

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

Contact information

SEC notice filing (53 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC

TRUST BUT VERIFY

Contact information

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