Robert Allan Riegen

$3.20B regulatory AUM 5 advisory clients

Reported services (Item 5G)

From the firm’s Form ADV. Read the guides:

1835 Market Street Suite 500, Philadelphia, PA 19103 • United States

Current Registrations

Authority	Category	Status	Date
PA	RA	APPROVED	2024-09-20

Branch Locations

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

Organization	City	State	From	To
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pennington	NJ	12/2017	07/2019
Unos Chicago Grill	Philadelphia	PA	11/2002	12/2017
Merrill Lynch, Pierce, Fenner & Smith Incorporated	Pennington	NJ	05/2015	12/2017
Fidelity Brokerage Services	King Of Prussia	PA	07/2019	06/2024
Roffman Miller Associates, Inc.	Philadelphia	PA	07/2024	Present

12/2017 → 07/2019

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ
11/2002 → 12/2017

Unos Chicago Grill

Philadelphia, PA
05/2015 → 12/2017

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ
07/2019 → 06/2024

Fidelity Brokerage Services

King Of Prussia, PA
07/2024 → Present

Roffman Miller Associates, Inc.

Philadelphia, PA

2019-07-26 → 2024-06-24

Fidelity Personal And Workplace Advisors

King Of Prussia, PA
2018-02-28 → 2019-07-16

Merrill Lynch, Pierce, Fenner & Smith Incorporated

Pennington, NJ

Pennington, NJ

Code	Exam	Date
S66	Uniform Combined State Law Examination	2018-02-27

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