Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Frederick? Claim Your ProfileFrederick James Rickey III is an Investment Advisor Representative with Raymond James & Associates, Inc.. He is a seasoned professional with over 35 years of experience in the financial services industry. Frederick has held previous positions with Morgan Stanley, Janney Montgomery Scott LLC, Wachovia Securities, LLC, Prudential Securities Incorporated, UBS Paine Webber Inc., Merrill Lynch, Pierce, Fenner & Smith Incorporated, Walnut Street Securities, Inc., North American Management, Inc., EQUICO SECURITIES, INC., THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES, MONARCH SECURITIES, INC., and E. F. HUTTON & COMPANY INC.. He specializes in providing financial planning and investment advice to individuals, businesses, pension and profit-sharing plans, insurance companies, and charitable organizations. Frederick is a licensed Investment Advisor Representative in Rhode Island, Massachusetts and Texas.
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
RI
01/18/2022 - Present
Raymond James & Associates, Inc. (Providence RI)
RI
11/07/2013 - 01/18/2022
MORGAN STANLEY (Providence RI)
RI
10/12/2007 - 11/08/2013
JANNEY MONTGOMERY SCOTT LLC (PROVIDENCE RI)
RI
07/01/2003 - 10/19/2007
WACHOVIA SECURITIES, LLC (NEWPORT RI)
NY
08/10/2001 - 07/01/2003
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
05/29/1998 - 08/24/2001
UBS PAINEWEBBER INC. (WEEHAWKEN NJ)
NY
04/03/1995 - 06/03/1998
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
CA
06/01/1996 - 04/07/1997
WALNUT STREET SECURITIES, INC. (EL SEGUNDO CA)
SD
09/22/1993 - 06/01/1996
NORTH AMERICAN MANAGEMENT, INC. (SIOUX FALLS SD)
NY
04/20/1993 - 09/22/1993
EQUICO SECURITIES, INC. (NEW YORK NY)
NY
04/20/1993 - 09/22/1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES (NEW YORK NY)
SD
03/20/1990 - 04/22/1993
NORTH AMERICAN MANAGEMENT, INC. (SIOUX FALLS SD)
NA
12/14/1989 - 04/09/1990
MONARCH SECURITIES, INC.
NA
06/28/1988 - 04/09/1990
MONARCH SECURITIES, INC.
SD
01/17/1989 - 12/21/1989
NORTH AMERICAN MANAGEMENT, INC. (SIOUX FALLS SD)
NA
03/27/1986 - 02/13/1989
EQUICO SECURITIES, INC.
NA
03/27/1986 - 02/13/1989
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
NA
12/02/1985 - 01/21/1986
E. F. HUTTON & COMPANY INC
NA
09/27/1983 - 03/13/1984
EQUICO SECURITIES, INC.
NA
09/27/1983 - 03/13/1984
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
IA
Issued 01/02/1991
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 01/16/1987
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 12/12/2009
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 12/12/2009
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 10/16/1991
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 04/11/1995
Series 7 - General Securities Representative Examination
BC
Issued 09/24/1983
Series 6 - Investment Company Products/Variable Contracts 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 Frederick Rickey is the right advisor for you? Invested Better is here to help.
