Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Dana? Claim Your ProfileDana Andrew Ricker is a financial advisor who has been working in the industry since September 1996. Dana is currently registered with Raymond James & Associates, Inc. and has been with the firm since June 2013. Previously, Dana was employed with MORGAN STANLEY and CITIGROUP GLOBAL MARKETS INC. Dana is a licensed investment advisor and registered in 32 states as a securities agent. Dana holds Series 7, Series 31, Series 63, Series 65, and SIE licenses. Dana is a business owner of two companies, Little River Holdings, LLC and Valley Bowl Corp.
Advisors offer a broad range of advisory services designed to meet the unique needs of individuals, businesses, and investment companies. These services provide professional guidance and personalized strategies to help clients achieve their financial goals.
Comprehensive financial plans to help you achieve your personal and business goals.
Guidance on pension options to ensure a secure financial future.
Seminars designed to boost your financial literacy and investment knowledge.
Helps you choose top advisors aligned with your financial goals.
Custom portfolio management strategies for businesses to achieve long-term growth.
Personalized portfolio management to meet individual financial objectives.
Please see note in schedule d - miscellaneous
Advisors may be compensated through a variety of fee structures, offering flexibility and transparency. This allows clients to choose the arrangement that best aligns with their financial objectives.
Set rates for specific services, regardless of time or assets managed.
Earned based on transactions or products sold.
A percentage of the total value of assets under management is charged.
1
2
ME
03/04/2021 - Present
Raymond James & Associates, Inc. (PORTLAND ME)
ME
06/01/2009 - 07/11/2013
MORGAN STANLEY (PORTLAND ME)
ME
09/13/1996 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (PORTLAND ME)
IA
Issued 08/02/1996
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 08/02/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/30/2012
Series 31 - Futures Managed Funds Examination
BC
Issued 07/22/1996
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
Not sure Dana Ricker is the right advisor for you? Invested Better is here to help.
