Unclaimed
This information is unverified and unclaimed information. Claim profile to editThis information is unverified and unclaimed information. Are you Roy? Claim Your ProfileRoy Ricketts is a financial professional based in LOUISVILLE, KY. Roy has been in the financial services industry for over 40 years. Roy is currently registered with Ricketts Financial, LLC, and previously worked at RAYMOND JAMES & ASSOCIATES, INC. Roy holds several licenses and certifications, including the Series 65, Series 63, Series 8, Series 3, Series 5, Series 7, and SIE. Roy's expertise includes providing financial planning and portfolio management for individuals and businesses.
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.
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.
Set rates for specific services, regardless of time or assets managed.
A percentage of the total value of assets under management is charged.
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KY
06/26/2020 - Present
Ricketts Financial, LLC (LOUISVILLE KY)
KY
02/13/2013 - 07/09/2020
RAYMOND JAMES & ASSOCIATES, INC. (LOUISVILLE KY)
KY
05/06/1993 - 02/13/2013
MORGAN KEEGAN & COMPANY, INC. (LOUISVILLE KY)
NJ
04/11/1988 - 04/29/1993
PAINEWEBBER INCORPORATED (WEEHAWKEN NJ)
NA
03/07/1988 - 03/30/1988
SHEARSON LEHMAN HUTTON INC.
NA
01/30/1981 - 03/07/1988
E. F. HUTTON & COMPANY INC
NA
01/31/1980 - 12/12/1983
PAINE, WEBBER, JACKSON & CURTIS INC.
NA
06/01/1977 - 01/31/1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
IA
Issued 06/16/1997
Series 65 - Uniform Investment Adviser Law Examination
BC
Issued 09/30/1981
Series 63 - Uniform Securities Agent State Law Examination
BC
Issued 06/04/1986
Series 8 - General Securities Sales Supervisor Examination (Options Module & General Module)
BC
Issued 10/01/2018
SIE - Securities Industry Essentials Examination
BC
Issued 11/15/1983
Series 3 - National Commodity Futures Examination
BC
Issued 11/16/1981
Series 5 - Interest Rate Options Examination
BC
Issued 02/02/1981
PC - AMEX Put and Call Exam
BC
Issued 05/21/1977
Series 7 - General Securities Representative Examination
Active
Inactive
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