Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ricardo? Claim Your ProfileRicardo Esteban is a financial advisor with over 20 years of experience in the industry. Ricardo is currently registered with J.P. Morgan Securities LLC in New Jersey, New York, and Pennsylvania. Previously, Ricardo has worked with several other firms including LPL Financial LLC, Chase Investment Services Corp., Citigroup Global Markets Inc., CitiCorp Investment Services, Commerce Capital Markets, Inc., GBI Capital Partners Inc., and Continental Broker-Dealer Corp. Ricardo has passed the Series 63, Series 65, Series 7, and the Securities Industry Essentials exams. Ricardo specializes in providing financial advice to high net worth individuals, corporations and other businesses, pension and profit-sharing plans, charitable organizations, insurance companies, labor unions, and individuals other than high net worth individuals.
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.
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.
A percentage of the total value of assets under management is charged.
Fee computed based on cents-per-share-deposited-into-the-account
1
2
NY
08/29/2022 - Present
J.p. Morgan Securities LLC (OZONE PARK NY)
NY
01/24/2011 - 08/06/2012
LPL FINANCIAL LLC (BROOKLYN NY)
NY
12/03/2009 - 12/03/2010
CHASE INVESTMENT SERVICES CORP. (BROOKLYN NY)
NY
05/29/2007 - 12/04/2009
CITIGROUP GLOBAL MARKETS INC. (BROOKLYN NY)
NY
09/22/2003 - 05/29/2007
CITICORP INVESTMENT SERVICES (BROOKLYN NY)
PA
05/03/2002 - 02/19/2003
COMMERCE CAPITAL MARKETS, INC. (PHILADELPHIA PA)
NY
10/01/1998 - 08/29/2001
GBI CAPITAL PARTNERS INC. (BETHPAGE NY)
NY
08/26/1997 - 09/28/1998
CONTINENTAL BROKER-DEALER CORP. (CARLE PLACE NY)
IA
Issued 10/29/2004
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/17/1997
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 08/25/1997
Series 7 - General Securities Representative Examination
Active
Inactive
B
BOX Exchange LLC
C
Cboe C2 Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
I
Investors' Exchange LLC
L
Long-Term Stock Exchange, Inc.
M
MEMX LLC
M
MIAX Emerald, LLC
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
NYSE National, Inc.
N
Nasdaq BX, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq MRX, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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