David Alfred Riccio

Current Employers

Ladenburg Thalmann Asset Management Inc

640 Fifth Avenue 4Th Fl., New York, NY 10019 • United States

Current Registrations

Authority	Category	Status	Date
NV	RA	APPROVED	2021-06-25
IL	RA	APPROVED	2021-06-15
MI	RA	APPROVED	2021-06-14
CA	RA	APPROVED	2021-06-10
PA	RA	APPROVED	2021-06-10
OR	RA	APPROVED	2021-04-23
NC	RA	APPROVED	2021-04-07
WA	RA	APPROVED	2021-04-07
NY	RA	APPROVED	2021-04-01
OH	RA	APPROVED	2021-03-06
RI	RA	APPROVED	2020-05-28
MA	RA	APPROVED	2020-05-13
TX	RA	APPROVED_RES	2015-10-28
FL	RA	APPROVED	2013-03-01
NJ	RA	APPROVED	2006-10-03

NV RA
APPROVED

Since 2021-06-25
IL RA
APPROVED

Since 2021-06-15
MI RA
APPROVED

Since 2021-06-14
CA RA
APPROVED

Since 2021-06-10
PA RA
APPROVED

Since 2021-06-10
OR RA
APPROVED

Since 2021-04-23
NC RA
APPROVED

Since 2021-04-07
WA RA
APPROVED

Since 2021-04-07
NY RA
APPROVED

Since 2021-04-01
OH RA
APPROVED

Since 2021-03-06
RI RA
APPROVED

Since 2020-05-28
MA RA
APPROVED

Since 2020-05-13
TX RA
APPROVED_RES

Since 2015-10-28
FL RA
APPROVED

Since 2013-03-01
NJ RA
APPROVED

Since 2006-10-03

Branch Locations

Miami, FL • United States

Disclosures

1 disclosure category reported Yes on this SEC record. Read each Yes below, then review the firm’s Form ADV Item 11 guide for how disclosure questions work.

Regulatory action Yes
Criminal No
Bankruptcy No
Civil judicial No
Bond No
Judgment / lien No
Investigation No
Customer complaint No
Termination No

Employment History

Organization	City	State	From	To
Ladenburg Thalmann & Co. Inc.	New York	NY	09/2006	Present

09/2006 → Present

Ladenburg Thalmann & Co. Inc.

New York, NY

Exams

Code	Exam	Date
S66	Uniform Combined State Law Examination	2004-01-13

S66 Uniform Combined State Law Examination

2004-01-13

View on SEC IAPD

Current Employers

Ladenburg Thalmann Asset Management Inc

Disclosures

Employment History

Exams

Reviews