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David Riccio

22 Years of Experience
1 DisclosureBroker

David Riccio is a registered investment advisor at Ladenburg Thalmann Asset Management INC, based in Miami, FL, with 22 years of industry experience. David operates on a fee-only basis, meaning they do not earn commissions from product sales. Their practice areas include Investment Management. Their firm serves 3,334 clients with $5.6B in assets under management.

Compensation
Fee-Only (% of Portfolio)
Firm Size
21 advisors
Number of Clients
3,334 clients
Average Client Portfolio
$1.7M average
Assets Under Management
$5.6B

Fee Structure

Investment management only (planning not offered)

Ladenburg Thalmann Asset Management manages investments through various programs and separately managed accounts. Fees for these services are determined by the specific program or agreement and are subject to negotiation. Details and fee schedules for Ladenburg-sponsored programs are available upon request. For separately managed accounts, fees are generally charged quarterly, either in advance or in arrears, as specified in the client agreement.

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Location

History

Regulatory History (1)
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Regulatory
March 2013
Final
Employment History
Current Registrations
Ladenburg Thalmann Asset Management INC
October 2006 - Present · 19 yrs 6 mos
Ladenburg Thalmann & CO. INC.
September 2006 - Present · 19 yrs 7 mos
Ladenburg Thalmann & CO. INC.Broker
September 2006 - Present · 19 yrs 7 mos
Previous Registrations
Broadwall Capital LLCBroker
April 2004 - September 2006 · 2 yrs 5 mos
Northeast Securities, INC.Broker
December 2003 - April 2004 · 4 mos
State Registrations21 states
CACOCTFLHIIDILMAMDMINCNJNVNYOHORPARITXVAWA
AdvisorBrokerBoth

You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.

Exams
No exam information available for this advisor.