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This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ricci? Claim Your ProfileRicci Joseph Mancinelli is an Investment Advisor Representative at Wells Fargo Clearing Services, LLC with more than 25 years of experience in the financial services industry. Ricci has held various positions in the industry, including roles at Morgan Stanley and UBS Financial Services. Ricci specializes in providing financial planning services and investment management for individuals and businesses. Ricci is registered with the Financial Industry Regulatory Authority (FINRA) and holds the Series 7, 24, 31, 55, and 66 securities licenses as well as the SIE license. Ricci also holds the Series 63 license which allows Ricci to advise clients in California and other states where Ricci is registered.
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.
Investment consulting services to institutional clients
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
CA
03/25/2019 - Present
Wells Fargo Clearing Services, LLC (SANTA BARBARA CA)
CA
06/01/2009 - 04/01/2019
MORGAN STANLEY (SANTA BARBARA CA)
CA
07/03/2008 - 06/01/2009
CITIGROUP GLOBAL MARKETS INC. (SANTA BARBARA CA)
CA
03/26/2007 - 07/24/2008
UBS FINANCIAL SERVICES INC. (SANTA BARBARA CA)
CA
09/02/1998 - 01/31/2007
WATERFORD CAPITAL, INC. (SANTA BARBARA CA)
TX
06/04/1998 - 10/06/1998
PRIVATE BROKERS CORPORATION (DALLAS TX)
CA
09/30/1997 - 06/09/1998
THE HERITAGE GROUP, INC. (SAN FRANCISCO CA)
CA
02/22/1994 - 09/18/1997
CRUTTENDEN ROTH INCORPORATED (NEWPORT BEACH CA)
NY
01/22/1994 - 04/19/1994
ROBERT TODD FINANCIAL CORP. (NEW YORK NY)
NA
09/27/1993 - 12/02/1993
YAEGER SECURITIES, INC.
NA
08/03/1993 - 09/08/1993
MERIDIAN ASSOCIATES, INC.
CO
04/23/1993 - 08/04/1993
SCHNEIDER SECURITIES, INC. (DENVER CO)
BOTH
Issued 01/31/2008
Series 66 - Uniform Combined State Law Examination
BC
Issued 04/26/1993
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/30/1999
Series 4 - Registered Options Principal Examination
BC
Issued 08/01/1998
Series 24 - General Securities Principal Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 02/28/2011
Series 31 - Futures Managed Funds Examination
BC
Issued 08/28/2000
Series 55 - Limited Representative-Equity Trader Exam
BC
Issued 04/22/1993
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe BZX Exchange, Inc.
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
NYSE Arca, Inc.
N
NYSE Chicago, Inc.
N
Nasdaq GEMX, LLC
N
Nasdaq ISE, LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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