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Richard Noel Trotta

Thurston Springer Advisors

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About Richard Noel Trotta

Richard T. Trotta is a financial advisor with over 37 years of experience in the industry. Richard currently works with Thurston Springer Advisors. Richard's background includes experience with firms such as Ameriprise Financial Services, LLC, Morgan Stanley Smith Barney, Citigroup Global Markets Inc., Wachovia Securities, LLC, First Union Capital Markets Corp., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Kidder, Peabody & Co. Incorporated and Smith Barney, Harris Upham & Co., Incorporated.

Firm Information

Richard Trotta is currently registered with Thurston Springer Advisors. Thurston Springer Advisors is an Indianapolis, Indiana-based investment advisor with approximately $1 billion - $10 billion in assets under management. They offer a range of services including financial planning, portfolio management for individuals and businesses, educational seminars, and selection of other advisors. They serve a variety of clients, including high net worth individuals, corporations, and individuals other than high net worth. Their client base includes a significant number of individuals, and they also provide advisory services to charitable organizations. Thurston Springer Advisors participates in wrap fee programs.
Thurston Springer Advisors

9000 KEYSTONE CROSSING

INDIANAPOLIS, IN 46240

$3.96B

Assets Under Management

Not reported

Total Clients

77

Total Financial Advisors

Services Offered

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.

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financial planning services

Comprehensive financial plans to help you achieve your personal and business goals.

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educational seminars & workshops

Seminars designed to boost your financial literacy and investment knowledge.

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selection of other advisors

Helps you choose top advisors aligned with your financial goals.

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portfolio management for businesses

Custom portfolio management strategies for businesses to achieve long-term growth.

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portfolio management for individuals

Personalized portfolio management to meet individual financial objectives.

Fee Structure

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.

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fixed fees

Set rates for specific services, regardless of time or assets managed.

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commissions

Earned based on transactions or products sold.

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percentage of assets

A percentage of the total value of assets under management is charged.

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Richard Trotta’s Registration & Firm History

IN

03/27/2022 - Present

Thurston Springer Advisors (INDIANAPOLIS IN)

FL

04/20/2012 - 03/31/2022

AMERIPRISE FINANCIAL SERVICES, LLC (PALM BEACH GARDENS FL)

FL

06/01/2009 - 04/30/2012

MORGAN STANLEY SMITH BARNEY (JUPITER FL)

FL

01/07/2005 - 06/01/2009

CITIGROUP GLOBAL MARKETS INC. (WEST PALM BEACH FL)

MO

10/01/1999 - 01/10/2005

WACHOVIA SECURITIES, LLC (ST. LOUIS MO)

NC

03/19/1999 - 10/01/1999

FIRST UNION CAPITAL MARKETS CORP. (CHARLOTTE NC)

NY

10/30/1989 - 03/24/1999

MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)

NY

09/22/1989 - 11/08/1989

KIDDER, PEABODY & CO. INCORPORATED (NEW YORK NY)

NY

03/17/1987 - 09/12/1989

SMITH BARNEY, HARRIS UPHAM & CO., INCORPORATED (NEW YORK NY)

NA

09/24/1984 - 03/27/1987

DEAN WITTER REYNOLDS INC.

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Licenses & Designations

IA

Issued 10/23/1995

Series 65 - Uniform Investment Adviser Law Examination

BC

Issued 09/18/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 01/02/2023

Series 10 - General Securities Sales Supervisor - General Module Examination

BC

Issued 01/02/2023

Series 9 - General Securities Sales Supervisor - Options Module Examination

BC

Issued 08/29/1994

Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 08/29/1994

Series 3 - National Commodity Futures Examination

BC

Issued 09/15/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There is public disclosure for Richard Noel Trotta. Review regulatory record here.
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