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Richard Lawrence Frato

Ameriprise Financial Services, LLC

Independence, OH

Mantua, OH

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Current Employers
Ameriprise Financial Services, Llc

901 3Rd Avenue South, Minneapolis, MN 55402 • United States

Current Registrations

AuthorityCategoryStatusDate
OH RA APPROVED 2023-10-23
  • OH RA
    APPROVED
    Since 2023-10-23

Branch Locations

4401 Rockside Rd Suite 406, Independence, OH 44131 • United States

Mantua, OH • 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
OrganizationCityStateFromTo
Edward Jones St Louis MO 06/2009 10/2023
Ameriprise Financial Services Independence OH 10/2023 10/2023
Ameriprise Financial Services, Llc. Independence OH 10/2023 Present
Previous Registrations
  • 2009-09-10 → 2023-10-27
    Edward Jones
    Chardon, OH
    Aurora, OH
    Mantua, OH
    St Louis, MO
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2009-09-05
  • S66 Uniform Combined State Law Examination
    2009-09-05
Other Names
  • Rick Frato
  • Richard Frato
  • Richard Lawrence Frato

View on SEC IAPD

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Other Offices

STRATEGIC WEALTH PARTNERS, LTD. · INDEPENDENCE, OH
SWP INVESTMENT MANAGEMENT LLC · INDEPENDENCE, OH
EDGEWATER CAPITAL PARTNERS · INDEPENDENCE, OH
GATEPASS CAPITAL, LLC · INDEPENDENCE, OH
SPINNAKER FINANCIAL GROUP, LLC · INDEPENDENCE, OH
APPALOOSA WEALTH MANAGEMENT LLC · INDEPENDENCE, OH
BURNS FINANCIAL ADVISORS, INC. · INDEPENDENCE, OH
M HOLDINGS SECURITIES, INC. · Cleveland, OH

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