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Detailed Report
Richard Francis Froio
RICHARD FRANCIS FROIO SR, RICHARD FRANCIS FROIO SR., RICHARD FRANCIS FROIO, RICK FROIO
CRD#: 2214598
IA
Investment Adviser
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Broker
EATON VANCE MANAGEMENTCRD#: 104859 ONE POST OFFICE SQUARE
BOSTON, MA 02109
EATON VANCE DISTRIBUTORS, INC.CRD#: 37731 Scituate, MA
Registration History
19952000200520102015202020253 FIRMS2001 - 2005 (4 years)8 FIRMS2001 - 2006 (4 years)2 FIRMS2006 - 2012 (6 years)2 FIRMS2010 - 2012 (2 years)2 FIRMS2017 - Present (7 years)BPIMCO INVESTMENTS LLC (CRD# 154957)2013 - 2017 (4 years)BBLACKROCK FUND DISTRIBUTION CO... (CRD# 146183)2008 - 2011 (3 years)BMERCANTILE INVESTMENT SERVICES... (CRD# 130745)2004 - 2006 (2 years)BBB&T FUNDS DISTRIBUTOR, INC. (CRD# 136212)2005 - 2006 (<1 year)BBISYS FUND SERVICES LIMITED PA... (CRD# 15634)1999 - 2006 (6 years)BNEW COVENANT FUNDS DISTRIBUTOR... (CRD# 37465)2002 - 2006 (4 years)BCFD FUND DISTRIBUTORS, INC. (CRD# 36268)2002 - 2003 (1 year)BSCUDDER INVESTOR SERVICES, INC. (CRD# 754)1992 - 1995 (3 years)
License(s)

State Registrations

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Massachusetts 11/14/2017
IA
Massachusetts 12/12/2017

SRO Registrations

B
 FINRA

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
EATON VANCE MANAGEMENT (CRD#:104859)
ONE POST OFFICE SQUARE, BOSTON, MA 02109
Registered with this firm since 12/12/2017
B
EATON VANCE DISTRIBUTORS, INC. (CRD#:37731)
Scituate, MA
ONE POST OFFICE SQUARE, BOSTON, MA 02109
Registered with this firm since 11/14/2017
Previous Registration(s)
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 02/05/2013 - 10/23/2017 PIMCO INVESTMENTS LLC (CRD#:154957) NEWPORT BEACH, CA
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 07/21/2006 - 12/14/2012 BLACKROCK FUND ADVISORS (CRD#:105247) SAN FRANCISCO, CA
B
 03/29/2010 - 12/14/2012 BLACKROCK CAPITAL MARKETS, LLC (CRD#:146514) NEW YORK, NY
B
 03/29/2010 - 12/14/2012 BLACKROCK INVESTMENTS, LLC (CRD#:38642) NEW YORK, NY
B
 07/20/2006 - 12/14/2012 BLACKROCK EXECUTION SERVICES (CRD#:39438) NEW YORK, NY
B
 06/13/2008 - 12/31/2011 BLACKROCK FUND DISTRIBUTION COMPANY (CRD#:146183) BOSTON, MA
B
 05/13/2004 - 06/02/2006 MERCANTILE INVESTMENT SERVICES, INC. (CRD#:130745) PORTLAND, ME
B
 12/20/2001 - 06/02/2006 HEARTLAND INVESTOR SERVICES, LLC (CRD#:29693) BOSTON, MA
B
 07/16/2001 - 06/02/2006 FUNDS DISTRIBUTOR, INC. (CRD#:7174) PORTLAND, ME
B
 05/22/2001 - 06/02/2006 FIFTH THIRD FUNDS DISTRIBUTOR, INC. (CRD#:22229) BOSTON, MA
B
 05/22/2001 - 06/02/2006 PERFORMANCE FUNDS DISTRIBUTOR, INC. (CRD#:30016) PORTLAND, ME
B
 05/22/2001 - 06/02/2006 VICTORY CAPITAL ADVISERS, INC. (CRD#:37059) BROOKLYN, OH
B
 10/20/2005 - 05/31/2006 BB&T FUNDS DISTRIBUTOR, INC. (CRD#:136212) BOSTON, MA
B
 05/22/2001 - 05/31/2006 BISYS DISTRIBUTION SERVICES, INC. (CRD#:29244) BOSTON, MA
B
 05/22/2001 - 05/31/2006 BNY HAMILTON DISTRIBUTORS, INC. (CRD#:30188) PORTLAND, ME
B
 05/22/2001 - 05/31/2006 PROFUNDS DISTRIBUTORS, INC. (CRD#:19541) BETHESDA, MD
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 08/26/1999 - 05/31/2006 BISYS FUND SERVICES LIMITED PARTNERSHIP (CRD#:15634) PORTLAND, ME
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 01/28/2002 - 02/24/2006 NEW COVENANT FUNDS DISTRIBUTOR, INC. (CRD#:37465) JEFFERSONVILLE, IN
B
 05/22/2001 - 11/29/2005 STI CLASSIC FUND SERVICES, INC (CRD#:35746) BOSTON, MA
B
 05/22/2001 - 11/21/2005 EVERGREEN DISTRIBUTOR, INC. (CRD#:35773) BOSTON, MA
B
 06/19/2001 - 08/19/2005 BISYS SHELF B/D (1), INC. (CRD#:26501) BOSTON, MA
B
 01/28/2002 - 08/13/2003 CFD FUND DISTRIBUTORS, INC. (CRD#:36268) ATLANTA, GA
B
 06/11/1992 - 10/17/1995 SCUDDER INVESTOR SERVICES, INC. (CRD#:754) NEW YORK, NY
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B
Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
Disclosures
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