Michael S. 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.
Michael Scott Rickard, who also goes by M. Scott Rickard, Scott Rickard, was a registered financial professional .
Michael is a previously registered financial professional and started their career in finance in 1984. Michael had worked at 4 firms and has passed the Series 63, SIE, Series 7 and Series 22 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 11, 2007 - May 8, 2019
CAROLINA FINANCIAL SECURITIES, LLC
September 22, 1989 - November 3, 1992
CAMBIO SECURITIES CORPORATION
August 3, 1988 - December 19, 1989
MILK ST. INVESTMENT CORP.
August 29, 1984 - March 16, 1988
PHOENIX SECURITIES, 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
Current Firm
CAROLINA FINANCIAL SECURITIES, LLC
CRD#: 41970 / SEC#: , 8-49653
Contact information
FINRA licenses (20 States and Territories)
Disclosures
| Regulatory Event | 5 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
