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RIA / WealthAdvisordual registered (broker-dealer)19 years in industry

Richard LOUIS Trotta

Advisor at WELLS FARGO ADVISORS

RADNOR, PA | BLUE BELL, PA

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Data as of Sep 15, 2026 (this record's last observation) from federal regulator filings. Page built Sep 20, 2026, 7:42 AM UTC and rebuilt at most every 15 minutes.

Relationships: 11
Dated events: 2
On other graphs: 0
Observed: Jul 14, 2008 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: May 31, 2007earliest registration or exam on IAPD
Years in industry: 19derivedfrom the industry start date
Years at current firm: 2derivedfrom the current registration's begin date
Prior firms: 10
Current registrations: 1
Registered states: 1
Exams: S63|S66
First exam: May 31, 2007
First registration: Jul 14, 2008
Dual registered: yes, broker-dealer
Other names: Richard Trotta|RICHARD LOUIS TROTTA|RICHARD LOUIS TROTTA
IAPD individual key: 5302278

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	Apr 19, 2024	n/a	yes	RADNOR, PA\|BLUE BELL, PA	Current employment
CITIZENS SECURITIES, INC.	Bd affiliated wealth	May 20, 2022	Apr 19, 2024	no	FORTY FORT, PA\|CONSHOHOCKEN, PA\|WEST HAZLETON, PA\|KINGSTON, PA\|NANTICOKE, PA	Previous registration
SANTANDER SECURITIES	Bd affiliated wealth	May 31, 2016	Apr 8, 2022	no	Easton, PA\|BANGOR, PA\|Easton, PA\|Orwigsburg, PA\|EASTON, PA\|Shenandoah, PA\|Harrisburg, PA\|Bethlehem, PA\|Tamaqua, PA\|Pottsville, PA\|HARRISBURG, PA\|TAMAQUA, PA\|TAMAQUA, PA\|Pottsville, PA\|Shenandoah, PA\|Tamaqua, PA\|Bethlehem, PA\|Orwigsburg, PA\|Emmaus, PA\|Allentown, PA\|Villanova, PA\|Conshohocken, PA\|Orwigsburg, PA\|Schuylkill Haven, PA\|Tamaqua, PA\|Pottsville, PA	Previous registration
STONEX ADVISORS INC.	Bd affiliated wealth	Jan 30, 2015	Jun 7, 2016	no	BIRMINGHAM, AL	Previous registration
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	Former SEC adviser	Jan 6, 2015	Jan 30, 2015	no	YOUNGSTOWN, OH	Previous registration
KEYSTONE CAPITAL CORPORATION	Former SEC adviser	May 9, 2013	Jan 9, 2015	no	OREFIELD, PA\|NEW YORK, NY\|OREFIELD, PA	Previous registration
LIBERTY ASSET MANAGEMENT	Independent wealth	Nov 20, 2012	Aug 6, 2013	no	ALLENTOWN, PA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Nov 15, 2010	Oct 16, 2012	no	ALLENTOWN, PA	Previous registration
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Bd affiliated wealth	Jan 2, 2009	Oct 20, 2009	no	SAINT PETERSBURG, FL	Previous registration
RAYMOND JAMES FINANCIAL SERVICES, INC.	n/a	Dec 23, 2008	Jan 2, 2009	no	EMMAUS, PA	Previous registration
WELLS FARGO ADVISORS	Wirehouse	Jul 14, 2008	Dec 17, 2008	no	NORTHAMPTON, PA\|ALLENTOWN, PA	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
CITIZENS SECURITIES, INC.	WELLS FARGO ADVISORS	Apr 19, 2024	Apr 19, 2024	0	Firm change	Ibd to wirehouse
SANTANDER SECURITIES	CITIZENS SECURITIES, INC.	Apr 8, 2022	May 20, 2022	42	Firm change	Ibd to ibd
STONEX ADVISORS INC.	SANTANDER SECURITIES	Jun 7, 2016	May 31, 2016	-7	Firm change	Other
STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	STONEX ADVISORS INC.	Jan 30, 2015	Jan 30, 2015	0	Bulk transfer	Other
KEYSTONE CAPITAL CORPORATION	STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.	Jan 9, 2015	Jan 6, 2015	-3	Firm change	Other
LIBERTY ASSET MANAGEMENT	KEYSTONE CAPITAL CORPORATION	Aug 6, 2013	May 9, 2013	-89	Firm change after gap	Other
WELLS FARGO ADVISORS	LIBERTY ASSET MANAGEMENT	Oct 16, 2012	Nov 20, 2012	35	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	WELLS FARGO ADVISORS	Oct 20, 2009	Nov 15, 2010	391	Firm change	Other
RAYMOND JAMES FINANCIAL SERVICES, INC.	RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC	Jan 2, 2009	Jan 2, 2009	0	Bulk transfer	Other
WELLS FARGO ADVISORS	RAYMOND JAMES FINANCIAL SERVICES, INC.	Dec 17, 2008	Dec 23, 2008	6	Firm change	Other

Team moves

moves this advisor made together with colleagues (two or more registrations ending and beginning together)

Team	Left	Joined	From	Kind
41791:39550:PA:2022-04-08	Apr 8, 2022	May 20, 2022	CONSHOHOCKEN, PA	Firm change

Relationships

Registered with (9)

→ WELLS FARGO ADVISORSRegistered adviserregistration: previous registration
Nov 15, 2010 to Oct 16, 2012factForm ADV
→ CITIZENS SECURITIES, INC.Registered adviserregistration: previous registration
May 20, 2022 to Apr 19, 2024factForm ADV
→ SANTANDER SECURITIESRegistered adviserregistration: previous registration
May 31, 2016 to Apr 8, 2022factForm ADV
→ STONEX ADVISORS INC.Registered adviserregistration: previous registration
Jan 30, 2015 to Jun 7, 2016factForm ADV
→ STERNE AGEE INVESTMENT ADVISOR SERVICES, INC.Registered adviserregistration: previous registration
Jan 6, 2015 to Jan 30, 2015factForm ADV
→ KEYSTONE CAPITAL CORPORATIONRegistered adviserregistration: previous registration
May 9, 2013 to Jan 9, 2015factForm ADV
→ LIBERTY ASSET MANAGEMENTRegistered adviserregistration: previous registration
Nov 20, 2012 to Aug 6, 2013factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INCRegistered adviserregistration: previous registration
Jan 2, 2009 to Oct 20, 2009factForm ADV
→ RAYMOND JAMES FINANCIAL SERVICES, INC.Registered adviserregistration: previous registration
Dec 23, 2008 to Jan 2, 2009factForm ADV

Dated events

Occurred
Apr 19, 2024
Advisor changed firm
Richard Louis Trotta left Citizens Securities, Inc. for Wells Fargo Advisors (registered 2024-04-19)
Form ADVobserved 5 days ago
Occurred
Apr 8, 2022
Advisor changed firm
Richard Louis Trotta left Santander Securities for Citizens Securities, Inc. (registered 2022-05-20)
Form ADVobserved 5 days ago