Ricardo Uribe
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.
Ricardo Uribe, who also goes by Rick Uribe, was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 1984. Ricardo had worked at 6 firms and has passed the Series 63 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 19, 2002 - December 31, 2004
THE O.N. EQUITY SALES COMPANY
December 21, 2000 - August 26, 2002
ALLSTATE FINANCIAL SERVICES, LLC
June 12, 2000 - December 1, 2000
USALLIANZ SECURITIES, INC.
June 1, 1996 - April 5, 2000
WALNUT STREET SECURITIES, INC.
June 26, 1991 - June 1, 1996
NORTH AMERICAN MANAGEMENT, INC.
October 16, 1984 - April 29, 1991
HORNOR, TOWNSEND & KENT, LLC
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
Current Firm
THE O.N. EQUITY SALES COMPANY
CRD#: 2936 / SEC#: , 8-14161
Contact information
FINRA licenses (53 States and Territories)
Disclosures
| Regulatory Event | 7 |
| Arbitration | 2 |
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.
