Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Jeffrey? Claim Your ProfileJeffrey Ricks is a financial advisor who has been active in the industry since 1982. Jeffrey is currently registered with Commonwealth Financial Network and has been with them since 2009. Jeffrey holds various licenses, including Series 7, Series 63, Series 65 and Series 72. Jeffrey's prior registrations include Oppenheimer & Co. Inc., Stanford Group Company, Banc of America Investment Services, Inc., NationsSecurities, NationsBanc Securities, Inc., Prudential Securities Incorporated, Pruco Securities Corporation, The Prudential Insurance Company of America, Merrill Lynch, Pierce, Fenner & Smith Incorporated and Shearson Lehman Hutton Inc. Jeffrey is located in Austin, 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.
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.
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2
TX
08/14/2009 - Present
Commonwealth Financial Network (Austin TX)
TX
03/24/2009 - 07/29/2009
OPPENHEIMER & CO. INC. (AUSTIN TX)
TX
09/12/2008 - 03/19/2009
STANFORD GROUP COMPANY (AUSTIN TX)
TX
01/01/1998 - 10/02/2008
BANC OF AMERICA INVESTMENT SERVICES, INC. (AUSTIN TX)
NA
06/07/1993 - 01/01/1998
NATIONSSECURITIES
MA
02/19/1993 - 06/07/1993
NATIONSBANC SECURITIES, INC. (BOSTON MA)
NY
04/15/1991 - 02/18/1993
PRUDENTIAL SECURITIES INCORPORATED (NEW YORK NY)
NJ
06/25/1990 - 05/09/1991
PRUCO SECURITIES CORPORATION (NEWARK NJ)
NJ
06/25/1990 - 05/09/1991
THE PRUDENTIAL INSURANCE COMPANY OF AMERICA (NEWARK NJ)
NA
11/22/1988 - 05/07/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
NY
01/21/1982 - 05/07/1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (NEW YORK NY)
NA
05/02/1988 - 12/05/1988
SHEARSON LEHMAN HUTTON INC.
IA
Issued 09/26/1995
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 02/12/1982
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 01/16/1982
Series 7 - General Securities Representative Examination
Active
Inactive
F
FINRA
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