Rickie O. Troxel
Professional summary
Rickie Owen Troxel was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Rickie is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Rickie had worked at 7 firms, which includes INVESTORS BROKERAGE SERVICES INC., CETERA ADVISORS LLC, SUNAMERICA SECURITIES INC., NATIONWIDE SECURITIES LLC, PFS INVESTMENTS INC., PRINCETON AMERICAN EQUITIES CORPORATION, VAN CLEMENS & CO. INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 25, 1997 - September 15, 1998
INVESTORS BROKERAGE SERVICES, INC.
July 30, 1996 - March 19, 1997
CETERA ADVISORS LLC
June 8, 1995 - June 27, 1996
SUNAMERICA SECURITIES, INC.
November 22, 1993 - May 30, 1995
NATIONWIDE SECURITIES, LLC
March 12, 1993 - December 13, 1994
INVESTORS BROKERAGE SERVICES, INC.
November 13, 1990 - May 28, 1991
PFS INVESTMENTS INC.
August 7, 1987 - December 8, 1987
PRINCETON AMERICAN EQUITIES CORPORATION
May 21, 1987 - August 12, 1987
VAN CLEMENS & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
INVESTORS BROKERAGE SERVICES, INC.
CRD#: 4257 / SEC#: , 8-14989
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE INSURANCE COMPANY | SHAREHOLDER | |
| BARRETT, THOMAS RALPH | DIRECTOR | 2820433 |
| CALLAWAY, STEVE MANLEY | CHIEF COMPLIANCE OFFICER/SECRETARY | 2863190 |
| CALLAWAY, STEVE MANLEY | PRESIDENT/DIRECTOR | 2863190 |
| CARROLL, GARY MICHAEL | ASSISTANT COMPLIANCE OFFICER | 2846420 |
| DEBNAR, LAWRENCE JAMES | CHIEF FINANCIAL OFFICER / FINANCIAL & OPERATIONS PRINCIPAL | 3110005 |
| MAJEWSKI, CAROL LOUANN | ASST COMPLIANCE OFFICER/ DIRECTOR | 1423566 |
Disclosures
| Regulatory Event | 2 |
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