Ricky G. Sherlund
Professional summary
Ricky Glen Sherlund, who also goes by Richard G Sherlund, Ricky Glen Sherlund, Rick Glen Sherlund, is a registered financial professional currently at FINALIS SECURITIES LLC located in New York, New York.
Ricky is registered as a RR (Registered Representative) and started their career in finance in 1981. Ricky has worked at 9 firms and has passed the Series 63, SIE, Series 79, Series 86, Series 87, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ricky Glen Sherlund's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 12, 2026 - Present
FINALIS SECURITIES LLC
Office #1: 450 Lexington Ave, New York, NY 10017October 27, 2025 - April 30, 2026
WEDBUSH SECURITIES INC.
September 17, 2024 - April 18, 2025
FINALIS SECURITIES LLC
August 4, 2024 - September 3, 2024
INDEPENDENCE POINT SECURITIES LLC
September 17, 2019 - March 22, 2023
BOFA SECURITIES, INC.
September 28, 2017 - June 17, 2019
PERELLA WEINBERG PARTNERS LP
September 18, 2015 - August 10, 2017
BARCLAYS CAPITAL INC.
April 13, 2011 - September 4, 2015
NOMURA SECURITIES INTERNATIONAL, INC.
October 27, 1982 - March 23, 2007
GOLDMAN SACHS & CO. LLC
September 28, 1981 - October 20, 1982
L. F. ROTHSCHILD & CO. INCORPORATED
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(6/12/2026)
Exams
FINRA
Current Firm
FINALIS SECURITIES LLC
CRD#: 305908 / SEC#: , 8-70425
Contact information
FINRA licenses (53 States and Territories)
Red Flags
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