Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ricardo? Claim Your ProfileRicardo De la Torre is a financial advisor currently registered with Raymond James & Associates, Inc. and Raymond James Financial Services Advisors, Inc. in Rockwall, Texas. Ricardo has been in the financial industry since 2007. Ricardo holds the Series 66, 26, 51, 24, 10, 9, 99TO, SIE and 7 licenses. He has a total of 5 approved SRO registrations, 1 approved FINRA registration, 1 approved state registration and 1 approved IA state registration. Ricardo has previously been employed by Hilltop Securities Inc. and Horace Mann Investors, Inc. and Wells Fargo Advisors, LLC.
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
TX
10/05/2021 - Present
Raymond James & Associates, Inc. (Rockwall TX)
TX
12/11/2019 - 09/14/2021
HILLTOP SECURITIES INC. (DALLAS TX)
IL
04/13/2016 - 06/17/2019
HORACE MANN INVESTORS, INC. (SPRINGFIELD IL)
TX
01/03/2011 - 04/13/2015
WELLS FARGO ADVISORS, LLC (DALLAS TX)
NM
05/17/2006 - 01/03/2011
WELLS FARGO INVESTMENTS, LLC (ALBUQUERQUE NM)
BOTH
Issued 09/11/2006
Series 66 - Uniform Combined State Law Examination
BC
Issued 01/02/2023
Series 26 - Investment Company Products/Variable Contracts Principal Examination
BC
Issued 03/19/2018
Series 51 - Municipal Fund Securities Principal Examination
BC
Issued 04/29/2016
Series 24 - General Securities Principal Examination
BC
Issued 06/17/2007
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/12/2007
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 01/02/2023
Series 99TO - Operations Professional Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 05/16/2006
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
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