Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Luigi? Claim Your ProfileLuigi Ricciardi is a financial professional with over 25 years of experience in the industry. Luigi has a strong background in the financial services industry, holding various positions at prominent firms such as Goldman Sachs & Co. LLC, Oppenheimer & Co. Inc., and Smith Barney Inc. Luigi is currently registered with Merrill Lynch, Pierce, Fenner & Smith Inc. Luigi is a licensed Series 7, 9, 10, 63, and SIE General Securities Principal. Luigi's expertise lies in providing a wide range of investment advisory services, including portfolio management, financial planning, and pension consulting.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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.
1
2
NY
09/09/2019 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (NEW YORK NY)
NY
10/15/2020 - 12/08/2020
MERRILL LYNCH PROFESSIONAL CLEARING CORP. (NEW YORK NY)
NY
02/17/2004 - 05/29/2019
GOLDMAN SACHS & CO. LLC (NEW YORK NY)
NY
01/03/2003 - 02/13/2004
OPPENHEIMER & CO. INC. (NEW YORK NY)
NY
07/06/2000 - 01/03/2003
CIBC WORLD MARKETS CORP. (NEW YORK NY)
NY
10/14/1997 - 07/06/2000
GRUNTAL & CO., L.L.C. (NEW YORK NY)
NY
10/23/1995 - 10/22/1997
SMITH BARNEY INC. (NEW YORK NY)
BC
Issued 11/03/2000
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/27/2000
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 01/27/2000
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/18/1996
Series 4 - Registered Options Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 10/20/1995
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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