Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you David? Claim Your ProfileDavid Michael Ricci is a financial advisor with over 30 years of experience in the industry. David is currently registered with LPL Financial LLC and has held previous positions at Santander Securities LLC, CUSO Financial Services, L.P., CUNA Brokerage Services, Inc., Naples AIS, Inc., and more. David specializes in providing investment advice to individuals, families, and businesses. David is committed to providing his clients with personalized financial planning services and investment advice that meets their individual needs.
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.
Consulting and other non-discretionary advisory services
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.
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2
MA
04/11/2017 - Present
LPL Financial LLC (WARE MA)
MA
06/11/2014 - 03/21/2017
SANTANDER SECURITIES LLC (SOUTHBRIDGE MA)
MA
09/05/2012 - 05/27/2014
LPL FINANCIAL LLC (WORCESTER MA)
MA
10/20/2011 - 09/06/2012
CUSO FINANCIAL SERVICES, L.P. (NORTHAMPTON MA)
MA
06/18/2010 - 10/28/2011
CUNA BROKERAGE SERVICES, INC. (SOUTHBRIDGE MA)
OR
04/21/2010 - 06/04/2010
NAPLES AIS, INC. (TUALATIN OR)
OH
01/25/2008 - 03/24/2009
ADVISER DEALER SERVICES, INC. (DUBLIN OH)
NY
09/07/2005 - 01/03/2008
FORESIDE DISTRIBUTION SERVICES, L.P. (NEW YORK NY)
MD
12/10/2004 - 06/30/2005
MERCANTILE BROKERAGE SERVICES, INC. (BALTIMORE MD)
ME
06/01/2004 - 06/15/2005
MERCANTILE INVESTMENT SERVICES, INC. (PORTLAND ME)
MD
11/15/2002 - 12/10/2004
MERCANTILE SECURITIES, INC. (BALTIMORE MD)
MD
05/24/2001 - 10/09/2002
RYDEX DISTRIBUTORS, INC. (ROCKVILLE MD)
DE
02/16/2000 - 12/18/2000
ING FUNDS DISTRIBUTOR, INC. (WILMINGTON DE)
IL
05/01/1995 - 03/02/2000
BANC ONE SECURITIES CORPORATION (CHICAGO IL)
ME
12/19/1994 - 03/03/1995
440 FINANCIAL DISTRIBUTORS, INC. (PORTLAND ME)
KS
10/24/1988 - 12/14/1992
MACKENZIE INVESTMENT MANAGEMENT INC. (OVERLAND PARK KS)
BOTH
Issued 01/16/2003
Series 66 - Uniform Combined State Law Examination
BC
Issued 07/21/1997
Series 63 - Uniform Securities Agent State Law Examination
IA
Issued 08/20/1993
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 01/02/2023
Series 6TO - Investment Company Products/Variable Contracts Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/13/2001
Series 7 - General Securities Representative Examination
BC
Issued 10/21/1988
Series 6 - Investment Company Products/Variable Contracts Representative Examination
Active
Inactive
F
FINRA
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