Ralph E. Rickard
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ralph Elliott Rickard, who also goes by Rick Rickard, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1982. Ralph had worked at 7 firms and has passed the Series 63, SIE, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2012 - January 23, 2019
CALDWELL SUTTER CAPITAL, INC.
May 27, 2003 - December 31, 2012
WELLINGTON SECURITIES, INC.
April 19, 1995 - December 3, 2001
CHARLES SCHWAB & CO., INC.
September 9, 1993 - April 10, 1995
CETERA WEALTH SERVICES, LLC
July 5, 1991 - September 9, 1993
CITICORP INVESTMENT SERVICES
July 25, 1985 - June 28, 1991
CYPRESS CAPITAL CORPORATION
May 24, 1982 - September 30, 1985
ICG SECURITIES LTD.
Primary Firm SEC Registration
CALDWELL SUTTER CAPITAL, INC.
CRD#: 10489 / SEC#: 801-66098, 8-27639
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Series 8
Date: 3/20/1998
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
CALDWELL SUTTER CAPITAL, INC.
CRD#: 10489 / SEC#: 801-66098, 8-27639
Contact information
SEC notice filing (10 States and Territories)
FINRA licenses (46 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| THE HELMER FAMILY TRUST DATED 3/8/2022 | SHAREHOLDER | |
| JOHN AND JINX HELMER REVOCABLE TRUST DATED JANUARY 4, 2005 | SHAREHOLDER | |
| ALLEN, MARI | MANAGING DIRECTOR | 1705748 |
| ANDERSON, CHRISTOPHER WILLIAM | CHIEF FINANCIAL OFFICER | 5085595 |
| ANDERSON, CHRISTOPHER WILLIAM | FINANCIAL AND OPERATIONS PRINCIPAL | 5085595 |
| ANDERSON, CHRISTOPHER WILLIAM | CHIEF COMPLIANCE OFFICER | 5085595 |
| DUCOTE, JOSEPH MICHAEL | SENIOR MANAGING DIRECTOR | 72548 |
| HELMER, JOHN CALDWELL | FOUNDER, TRUSTEE | 242398 |
| HELMER, JOSEPH FRANCIS | PRESIDENT, CO-TRUSTEE | 1860949 |
| HELMER, KATHLEEN REILLY | DIRECTOR, TRUSTEE | 6613066 |
| METCALF, SUSAN DIANE | MANAGING DIRECTOR | 1547365 |
Regulatory assets under management
| Total Number of Accounts | 1,225 |
| AUM (Assets Under Management) | $ 571,092,070 |
Disclosures
| Regulatory Event | 1 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 04/10/2025 | ||
| 03/25/2024 | ||
| 11/29/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
