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Frank A Riolo

LPl Financial LLC

New City, NY

CRD 6377284

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Employer firm

LPl Financial LLC CRD 6413

$819B regulatory AUM 209,600 advisory clients

Reported services (Item 5G)

  • Financial planning
  • Portfolio management (individuals)
  • Portfolio management (institutions)
  • Educational seminars
  • CONSULTING AND OTHER NON-DISCRETIONARY ADVISORY SERVICES

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

Current Employers
Lpl Financial Llc

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

Current Registrations

AuthorityCategoryStatusDate
TX RA APPROVED 2021-08-31
NY RA APPROVED 2021-08-27
  • TX RA
    APPROVED
    Since 2021-08-31
  • NY RA
    APPROVED
    Since 2021-08-27

Branch Locations

254 South Main St, Ste.406, New City, NY 10956 • 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
Ameriprise Financial Services, Inc. Suffern NY 07/2014 08/2021
Lpl Financial Llc New City NY 08/2021 Present
  • 07/2014 → 08/2021
    Ameriprise Financial Services, Inc.
    Suffern, NY
  • 08/2021 → Present
    Lpl Financial Llc
    New City, NY
Previous Registrations
Other Businesses

1) 8/2021- Riolo Financial Group- DBA for LPL Business (entity for LPL business)- Inv. Related- New City, NY- start date 7/28/2014

Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2015-01-16
  • S66 Uniform Combined State Law Examination
    2015-01-16
Designations
  • Certified Financial Planner

View on SEC IAPD

Nearby Firms

COMMONWEALTH FINANCIAL NETWORK
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

Nearby Investors

JOHN RANDOLPH MACKENZIE
AJET METALIAJ
Malka Lieblich

Nearby Offices

LPL FINANCIAL LLC · NEW CITY, NY
COMMONWEALTH FINANCIAL NETWORK · New City, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · New City, NY

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