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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Brian? Claim Your ProfileBrian Riccardi is a financial advisor registered with Wealthpenn.comllc. Brian has over 35 years of experience in the financial services industry and is registered to provide investment advice in New Jersey, New York and Texas. Brian has been with Wealthpenn.comllc since 2009. Prior to joining Wealthpenn.comllc, Brian worked at Morgan Stanley Smith Barney, Morgan Stanley Private Bank, National Association, Oppenheimer & Co., Inc., Smith Barney Inc. Brian provides portfolio management and financial planning services for individuals, families, and businesses. Brian has a strong track record of success in helping clients achieve their financial goals.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Strategic management for diversified investment portfolios.
Asset allocation advice
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
Fees calculated based on the performance of your investments relative to a benchmark.
See schedule d miscellaneous
1
2
NY
01/29/2010 - Present
Wealthpenn.comllc (New York NY)
NY
04/02/2007 - 06/01/2009
MORGAN STANLEY & CO. INCORPORATED (NEW YORK NY)
NY
10/14/1997 - 04/02/2007
MORGAN STANLEY DW INC. (NEW YORK NY)
NY
07/13/1995 - 10/09/1997
OPPENHEIMER & CO., INC. (NEW YORK NY)
NY
07/31/1993 - 07/17/1995
SMITH BARNEY INC. (NEW YORK NY)
NY
07/12/1988 - 07/31/1993
LEHMAN BROTHERS INC. (NEW YORK NY)
NA
11/06/1987 - 06/22/1988
GLICKENHAUS & CO. - NEW JERSEY
NA
08/19/1986 - 08/31/1987
PAINEWEBBER INCORPORATED
IA
Issued 4/2/1992
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/8/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/1/2018
SIE - Securities Industry Essentials Examination
BC
Issued 8/16/1986
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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