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Frank A Riolo

LPl Financial LLC

New City, NY

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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

View on SEC IAPD

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AJET METALIAJ
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LANCE EUGENE MCGINNIS
LISA BETH SHERMAN

Other Offices

LPL FINANCIAL LLC · NEW CITY, NY
COMMONWEALTH FINANCIAL NETWORK · New City, NY
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · New City, NY
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · NEW CITY, NY
CETERA INVESTMENT ADVISERS LLC · NEW CITY, NY
J.P. MORGAN SECURITIES LLC · NEW CITY, NY
LT ADVISORS LLC · NEW CITY, NY
J.P. MORGAN SECURITIES LLC · NEW CITY, NY

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