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Saralyn R Rickman

J.w. Cole Financial, Inc.

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About Saralyn R Rickman

Saralyn Rickman is a registered representative with J.w. Cole Financial, Inc. Saralyn has been in the financial services industry since 2009. She holds Series 6, 7, 22, and 63 licenses. Her previous employers include Brokers International Financial Services, LLC., Questar Capital Corporation, Midamerica Financial Services, Inc., and First Union Brokerage Services, Inc. Saralyn Rickman is currently registered with the states of Connecticut, Florida, New York, Tennessee, and Virginia.

Firm Information

Saralyn Rickman is currently registered with J.w. Cole Financial, Inc.. J.w. Cole Financial, Inc. is a Corporation formed in October 2002 and is registered in 52 states, including Alabama, Alaska, Arizona, Arkansas, California, Colorado, Connecticut, Delaware, District of Columbia, Florida, Georgia, Hawaii, Idaho, Illinois, Indiana, Iowa, Kansas, Kentucky, Louisiana, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Missouri, Montana, Nebraska, Nevada, New Hampshire, New Jersey, New Mexico, New York, North Carolina, North Dakota, Ohio, Oklahoma, Oregon, Pennsylvania, Rhode Island, South Carolina, South Dakota, Tennessee, Texas, Utah, Vermont, Virgin Islands, Virginia, Washington, West Virginia, Wisconsin, and Wyoming.

Not reported

Assets Under Management

Not reported

Total Clients

84

Total Financial Advisors

Services Offered

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.

Fee Structure

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.

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Saralyn Rickman’s Registration & Firm History

FL

09/08/2023 - Present

J.w. Cole Financial, Inc. (St Petersburg FL)

FL

02/13/2019 - 09/08/2023

BROKERS INTERNATIONAL FINANCIAL SERVICES, LLC. (St Petersburg FL)

FL

02/02/2011 - 02/13/2019

QUESTAR CAPITAL CORPORATION (ST. PETERSBURG FL)

FL

02/16/2010 - 02/03/2011

MIDAMERICA FINANCIAL SERVICES, INC. (ST. PETERSBURG FL)

NA

11/30/1993 - 06/17/1994

FIRST UNION BROKERAGE SERVICES, INC.

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Licenses & Designations

BC

Issued 07/20/2012

Series 63 - Uniform Securities Agent State Law Examination

BC

Issued 10/01/2018

SIE - Securities Industry Essentials Examination

BC

Issued 10/03/2013

Series 7 - General Securities Representative Examination

BC

Issued 06/22/2013

Series 22 - Direct Participation Programs Representative Examination

BC

Issued 02/15/2010

Series 6 - Investment Company Products/Variable Contracts Representative Examination

State Registrations

Active

Inactive

SRO Registrations

F

FINRA

Disclosures

There are 2 public disclosures for Saralyn R Rickman. Review regulatory record here.
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