David Riccio, financial advisor Portland ME
58 score

David Riccio

CRD Number: 1094283
Current Firm: Charter Oak Capital Management

David Riccio (CRD# 1094283) is an Investment Advisor Representative working at Charter Oak Capital Management in Portland, ME and has over 33 years of experience in the finance industry.

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Company Name Location Dates Years
Charter Oak Capital Management Kennebunk, ME Jul 2014 - Current 2
Unemployed Cheshire, CT Feb 2014 - Jul 2014 < 1
Morgan Stanley Smith Barney New Haven, CT Jun 2009 - Feb 2014 4
Morgan Stanley & Company, Incorporated New Haven, CT Apr 2007 - Feb 2014 6
Morgan Stanley Dw Inc. New Haven, CT Jul 2004 - Apr 2007 2
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Apr 1983
S65 NASAA Investment Advisors Law Examination Nov 1992
Disclosure Information

Financial Advisors are obligated to disclose any events that may influence their professional conduct or ability to advise their clients. Disclosure events are certain criminal matters, regulatory actions, civil judicial proceedings, customer complaints, arbitrations, or civil litigations, employment terminations, and financial matters in which the advisor has been involved. On the most recent filing submitted to FINRA, this advisor had a disclosure event.

Reported Disclosure Event:
  • Employer Dispute
  • Customer Dispute
Get Details on the FINRA Advisor Check site
Contact Info for David M. Riccio
Phone Number: 800-646-5720
Registered State(s):
  • ME
By the Numbers
  • Total Assets Under Management
  • Total Number of Accounts
  • Average Account Value
Compensation Options
  • A percentage of assets under your management
  • Hourly charges
  • Fixed fees (other than subscription fees)
Advisory Services Offered
  • Financial planning services
  • Portfolio management for individuals and/or small businesses
  • Portfolio management for businesses (other than small businesses) or institutional clients
  • Selection of other advisers (including private fund managers)
  • Educational seminars/workshops
Types of Clients
Registered States


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