Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Mark? Claim Your ProfileMark Angelo Ricca is a registered representative with Merrill Lynch, Pierce, Fenner & Smith Inc. Mark has been in the financial services industry since 1997. Mark has been with the firm since January 2005. Mark is a licensed Investment Advisor Representative in Indiana, New Jersey, and Texas. Mark also holds the Series 63, 65, 7, 9, 10, and 24 licenses.
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.
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.
Performance measurement reports, allocation modeling, ips, research reports and services, see schedule d
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
IN
10/26/2017 - Present
Merrill Lynch, Pierce, Fenner & Smith Inc. (INDIANAPOLIS IN)
MN
02/07/1997 - 01/18/2005
AMERICAN EXPRESS FINANCIAL ADVISORS INC. (MINNEAPOLIS MN)
MN
02/07/1997 - 01/18/2005
IDS LIFE INSURANCE COMPANY (MINNEAPOLIS MN)
IA
Issued 11/09/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 12/23/1996
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 03/22/2003
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/27/2003
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 02/07/2001
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/06/1997
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BYX Exchange, Inc.
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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