Ricky D. Solomon
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.
Ricky David Solomon, who also goes by Ricky D Solomon, was a registered financial professional .
Ricky is a previously registered financial professional and started their career in finance in 1984. Ricky had worked at 5 firms and has passed the Series 63, Series 65, SIE, Series 79, Series 7, Series 55 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 3, 2015 - October 13, 2016
TRIPOINT GLOBAL EQUITIES/BANQ(R)
December 19, 2006 - June 18, 2008
OPPENHEIMER & CO. INC.
December 13, 2006 - June 18, 2008
OPPENHEIMER & CO. INC.
August 7, 1998 - October 16, 2003
PALOMA SECURITIES L.L.C.
August 7, 1998 - November 10, 2006
AMARANTH SECURITIES L.L.C.
January 23, 1984 - July 24, 1998
WECHSLER & CO., INC.
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 55
Date: 4/4/2000
Limited Representative-Equity Trader ExamCurrent Firm
TRIPOINT GLOBAL EQUITIES/BANQ(R)
CRD#: 143174 / SEC#: , 8-67540
Contact information
Documents
Disclosures
| Regulatory Event | 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.
