Jeffrey Patrick Ricchiuti

Current Employers

Lpl Financial Llc

1055 Lpl Way, Fort Mill, SC 29715 • United States

Current Registrations

Authority	Category	Status	Date
NY	RA	APPROVED	2022-06-03

NY RA
APPROVED

Since 2022-06-03

Branch Locations

3460 Vestal Pkwy E, Vestal, NY 13850 • United States

4 Winners Circle, Albany, NY 12205 • United States

Latham, NY • United States

3155 Niagara Falls Blvd, Amherst, NY 14228 • United States

8086 Brewerton Rd, Cicero, NY 13039 • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

Regulatory action No
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
Direct Advisors, Llc	Latham	NY	08/2014	09/2021
Lpl Financial Llc	Albany	NY	09/2021	Present
Broadview Federal Credit Union	Albany	NY	09/2021	Present

08/2014 → 09/2021

Direct Advisors, Llc

Latham, NY
09/2021 → Present

Lpl Financial Llc

Albany, NY
09/2021 → Present

Broadview Federal Credit Union

Albany, NY

Previous Registrations

2021-08-04 → 2021-10-05

Direct Advisors, Llc

Latham, NY

Other Businesses

1) 2/28/2023 - Broadview Wealth Management - Investment Related - At Reported Business Location(s) - DBA for LPL Business (entity for LPL business) - Start Date - 03/31/2023 2) 07/08/2024 - Broadview Wealth Management - Financial Institution Duty - Director of Advisory Operations - Not Investment Related - At Reported Business Location(s) - Start Date 09/13/2021 - 20 Hours Per Month/ 2 Hours During Trading

Exams

Code	Exam	Date
S63	Uniform Securities Agent State Law Examination	2022-10-28
S66	Uniform Combined State Law Examination	2007-07-23

S63 Uniform Securities Agent State Law Examination

2022-10-28
S66 Uniform Combined State Law Examination

2007-07-23

Designations

Other Names

Jeffrey Patrick Ricchiuti

View on SEC IAPD