Richard Trotta, financial advisor Bethlehem PA
93 score

Richard Trotta

CRD Number: 5302278
Current Firm: Santander Securities

Richard Trotta (CRD# 5302278) is an Investment Advisor Representative working at Santander Securities in Bethlehem, PA and has over 10 years of experience in the finance industry.

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Company Name Location Dates Years
Santander Securities San Juan, PR May 2016 - Current 1
Santander Bank Na Pottsville, PA May 2016 - Current 1
Sterne Agee Financial Services Birmingham, AL Jan 2015 - May 2016 1
Sterne Agee Investment Advisor Services, Inc. Birmingham, AL Jan 2015 - May 2016 1
Keystone Captial Corp San Diegoo, CA Apr 2013 - Dec 2014 1
Comprehensive Asset Management & Servicing, Inc. Parsippany, NJ Nov 2012 - Apr 2013 < 1
Liberty Wealth Management Allentown, PA Nov 2012 - Apr 2013 < 1
Wells Fargo Advisors LLC Allentown, PA Nov 2010 - Oct 2012 1
Brican Ameria, LLC Allentown, PA Nov 2009 - Oct 2010 < 1
Raymond James Financial Services Advisors, Inc. Saint Petersburg, FL Jan 2009 - Oct 2009 < 1
Raymond James Financial Services, Inc. Lancaster, PA Dec 2008 - Oct 2009 < 1
Wachovia Securities, LLC Reading, PA Mar 2007 - May 2009 2
Wachovia Bank, N.a. Reading, PA Mar 2007 - Dec 2008 1
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination May 2007
S66 NASAA Uniform Combined State Law Examination Jul 2008
Contact Info for Richard Trotta
Phone Number: (866)-736-6475
Registered State(s):
  • PA
By the Numbers
  • Total Assets Under Management
    610
    MILLIONS
  • Total Number of Accounts
    4,969
    ACCOUNTS
  • Average Account Value
    $122,752
Compensation Options
  • A percentage of assets under your management
  • Other
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)
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, PR, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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