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John Edward Rick

Ages Financial Services, Ltd.

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About John Edward Rick

John Edward Rick is a financial advisor who has been working in the industry since March 9, 1985. John is currently registered with Ages Financial Services, Ltd., and is licensed in multiple states, including California, Florida, Georgia, New York, Pennsylvania, and Virginia. John previously worked at Capitol Securities Management, Inc. in Rochester, NY. John is a Series 7 and Series 63 licensed representative.

Firm Information

John Rick is currently registered with Ages Financial Services, Ltd.. Ages Financial Services, Ltd. is a corporation registered in 53 states and the District of Columbia. It was formed on June 25, 1984. The firm has been approved by the SEC and has received three regulatory event disclosures and two arbitration disclosures.

Not reported

Assets Under Management

Not reported

Total Clients

26

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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John Rick’s Registration & Firm History

NY

08/26/2020 - Present

Ages Financial Services, Ltd. (Rochester NY)

NY

07/29/2020 - 08/27/2020

CAPITOL SECURITIES MANAGEMENT, INC. (ROCHESTER NY)

NY

02/16/2017 - 07/30/2020

ADVISORY GROUP EQUITY SERVICES LTD. (Rochester NY)

NY

09/16/2013 - 02/10/2017

SOURCE CAPITAL GROUP, INC. (ROCHESTER NY)

NY

11/24/2006 - 09/16/2013

CAPITOL SECURITIES MANAGEMENT, INC. (ROCHESTER NY)

NY

06/17/2005 - 11/29/2006

THE CONCORD EQUITY GROUP, LLC (ROCHESTER NY)

NY

11/21/2002 - 07/06/2005

KIRLIN SECURITIES INC. (SYOSSET NY)

GA

09/30/2002 - 11/21/2002

J.P. TURNER & COMPANY, L.L.C. (ATLANTA GA)

CO

10/22/1998 - 09/30/2002

SCHNEIDER SECURITIES, INC. (DENVER CO)

OR

09/15/1998 - 10/22/1998

PAULSON INVESTMENT COMPANY, INC. (PORTLAND OR)

NY

12/12/1991 - 10/05/1998

H.J. MEYERS & CO., INC. (ROCHESTER NY)

NY

08/30/1990 - 11/29/1991

BRIGHTON SECURITIES CORP. (ROCHESTER NY)

NA

10/04/1989 - 08/31/1990

ROYCE PARK INVESTMENTS, INC.

GA

06/27/1989 - 10/20/1989

ADVANTAGE CAPITAL CORPORATION (ATLANTA GA)

NA

11/16/1987 - 05/09/1989

ANDREW ALEN SECURITIES, INC.

NA

03/03/1987 - 10/29/1987

DOMESTIC ARBITRAGE GROUP, INC.

NA

05/21/1985 - 01/16/1987

AMERICAN HERITAGE SECURITIES CORPORATION

NA

10/29/1984 - 05/15/1985

MICHAEL C. TALLEY & CO., INC.

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Licenses & Designations

BC

Issued 10/26/1984

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/20/1984

Series 7 - General Securities Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 3 public disclosures for John Edward Rick. Review regulatory record here.
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