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RIA / WealthAdvisorCertified Financial Plannerdual registered (broker-dealer)33 years in industry

RICHARD JAMES RIOS

Advisor at WELLS FARGO ADVISORS

VALRICO, FL | TAMPA, FL | SUN CITY CENTER, FL

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Search this name across graphsid dfx:ria:7e2c9aab-91e5-bb08-3e61-548539fadb11

Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 11:21 AM UTC and rebuilt at most every 15 minutes.

Relationships: 5
Dated events: 0
On other graphs: 0
Observed: Oct 1, 1999 to Sep 15, 2026

Across DFX

This entity has not been resolved onto another DFX graph by a shared identifier. A name match elsewhere would be a candidate, never an identity, and none is recorded.

Facts

fact = as filed or announced; derived = computed by DFX; estimate = a band, never a point

Current firm: WELLS FARGO ADVISORS
Current firm class: wirehousederived
Book size: not publicno per-advisor AUM is published by the SEC, FINRA or IAPD, and DFX estimates none
Industry start: Nov 12, 1992earliest registration or exam on IAPD
Years in industry: 33derivedfrom the industry start date
Years at current firm: 6derivedfrom the current registration's begin date
Prior firms: 4
Current registrations: 1
Registered states: 1
Designations: Certified Financial Planner
Exams: S65|S63
First exam: Nov 12, 1992
First registration: Oct 1, 1999
Dual registered: yes, broker-dealer
Other names: RICHARD J RIOS|RICK RIOS
IAPD individual key: 2270331

Registration history

registration spans on IAPD; the basis says whether the span is a current registration or a prior employment record

Firm	Class	Began	Ended	Current	Branch	Basis
WELLS FARGO ADVISORS	Wirehouse	Oct 7, 2019	n/a	yes	SUN CITY CENTER, FL\|TAMPA, FL\|VALRICO, FL	Current employment
AMERIPRISE FINANCIAL SERVICES, LLC	National bd RIA	Apr 13, 2012	Oct 16, 2019	no	Sarasota, FL\|Sun City Center, FL	Previous registration
MORGAN STANLEY	Wirehouse	Jun 1, 2009	Apr 23, 2012	no	TAMPA, FL\|Tampa, FL	Previous registration
MORGAN STANLEY & CO. LLC	n/a	Mar 24, 2008	Jun 1, 2009	no	TAMPA, FL	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Oct 1, 1999	Mar 27, 2008	no	SUN CITY CENTER, FL\|SUN CITY CENTER, FL	Previous registration

Moves

a move is two registration dates; a bulk corporate re-registration is typed BULK_TRANSFER and is not a move

From	To	Left	Joined	Gap, days	Kind	Move type
AMERIPRISE FINANCIAL SERVICES, LLC	WELLS FARGO ADVISORS	Oct 16, 2019	Oct 7, 2019	-9	Firm change	Ibd to wirehouse
MORGAN STANLEY	AMERIPRISE FINANCIAL SERVICES, LLC	Apr 23, 2012	Apr 13, 2012	-10	Firm change	Wirehouse to ibd
MORGAN STANLEY & CO. LLC	MORGAN STANLEY	Jun 1, 2009	Jun 1, 2009	0	Bulk transfer	Other
WELLS FARGO ADVISORS	MORGAN STANLEY & CO. LLC	Mar 27, 2008	Mar 24, 2008	-3	Firm change	Other

Relationships

Registered with (4)

→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Oct 1, 1999 to Mar 27, 2008factForm ADV
→ AMERIPRISE FINANCIAL SERVICES, LLCRegistered adviserregistration: previous registration
Apr 13, 2012 to Oct 16, 2019factForm ADV
→ MORGAN STANLEYRegistered adviserregistration: previous registration
Jun 1, 2009 to Apr 23, 2012factForm ADV
→ MORGAN STANLEY & CO. LLCRegistered adviserregistration: previous registration
Mar 24, 2008 to Jun 1, 2009factForm ADV

Dated events

No dated event names this entity yet.