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Santa Barbara, CA • United States
Current Registrations
| Authority | Category | Status | Date |
|---|---|---|---|
| NY | RA | APPROVED | 2021-10-05 |
| CA | RA | APPROVED | 2019-01-10 |
| CT | RA | APPROVED | 2019-01-09 |
Branch Locations
Santa Barbara, CA • United States
118 N Bedford Rd. Suite 100, Mount Kisco, NY 10549 • United States
No disclosure categories reported as “Yes” on this SEC record.
| Organization | City | State | From | To |
|---|---|---|---|---|
| Raymond James Financial Service,Inc | Ridgefield | CT | 06/2015 | 09/2018 |
| Raymond James Financial Services Advisors Inc. | Ridgefield | CT | 06/2015 | 09/2018 |
| The Riolo Law Firm, Pllc | Mount Kisco | NY | 06/2014 | Present |
| Sovereign Financial Group, Inc. | Ridgefield | CT | 01/2017 | 09/2018 |
| Mountain Vista Wealth Management, Llc | Ridgefield | CT | 09/2018 | Present |
Michael J. Riolo is currently the Owner & Principal Attorney of The Riolo Law Firm PLLC. This activity accounts for approximately 10 hours per week. Michael J. Riolo is currently the Owner & President of Total Wealth Advisory Group LLC. This activity accounts for approximately 5 hours per week.
| Code | Exam | Date |
|---|---|---|
| S66 | Uniform Combined State Law Examination | 2011-02-04 |
| S63 | Uniform Securities Agent State Law Examination | 2006-05-23 |
| S65 | Uniform Investment Adviser Law Examination | 2001-01-30 |
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