Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Ronald? Claim Your ProfileRonald Jeffrey Rick is a registered representative with Wells Fargo Clearing Services, LLC, where Ronald has been registered since 2007. Ronald's career in the financial industry began in 1986. Ronald has experience with Wells Fargo Advisors LLC, First Union Brokerage Services, Inc., Marion Bass Securities Corporation, and First Jersey Securities, Inc.
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
NC
11/05/2007 - Present
Wells Fargo Clearing Services, LLC (CHARLOTTE NC)
NC
04/02/1987 - 10/01/2000
FIRST UNION BROKERAGE SERVICES, INC. (CHARLOTTE NC)
NA
10/14/1986 - 03/13/1987
MARION BASS SECURITIES CORPORATION
NA
06/25/1986 - 08/01/1986
FIRST JERSEY SECURITIES, INC.
BOTH
Issued 11/02/2007
Series 66 - Uniform Combined State Law Examination
BC
Issued 06/26/1986
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 07/10/2008
Series 10 - General Securities Sales Supervisor - General Module Examination
BC
Issued 05/01/2008
Series 9 - General Securities Sales Supervisor - Options Module Examination
BC
Issued 02/08/1988
Series 4 - Registered Options Principal Examination
BC
Issued 01/02/2023
Series 72 - Government Securities Representative Examination
BC
Issued 01/02/2023
Series 52TO - Municipal Securities Representative Examination
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 06/21/1986
Series 7 - General Securities Representative Examination
Active
Inactive
C
Cboe Exchange, Inc.
F
FINRA
N
NYSE American LLC
N
Nasdaq PHLX LLC
N
Nasdaq Stock Market
N
New York Stock Exchange
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