Jose D. Rico
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.
Jose David Rico, who also goes by Joe David Rico, was a registered financial professional .
Jose is a previously registered financial professional and started their career in finance in 1985. Jose had worked at 9 firms and has passed the Series 63, SIE 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
June 6, 2012 - August 9, 2017
VOYA FINANCIAL ADVISORS, INC.
January 3, 2011 - June 6, 2012
SIGNATOR FINANCIAL SERVICES, INC.
January 23, 2009 - December 31, 2010
SECURITIES AMERICA ADVISORS, INC.
January 23, 2009 - December 31, 2010
SECURITIES AMERICA, INC.
October 19, 2007 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
March 9, 2001 - January 23, 2009
BRECEK & YOUNG ADVISORS, INC.
August 2, 2000 - March 6, 2001
DONAHUE SECURITIES, INC.
April 12, 2000 - July 20, 2000
CAMBRIDGE INVESTMENT RESEARCH, INC.
May 21, 1986 - June 3, 1989
INVESTORS BROKERAGE SERVICES, INC.
May 30, 1985 - October 2, 2000
NATIONWIDE INVESTMENT SERVICES CORPORATION
Primary Firm SEC Registration
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
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
VOYA FINANCIAL ADVISORS, INC.
CRD#: 2882 / SEC#: 801-46585, 8-13987
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 11,854 |
| AUM (Assets Under Management) | $ 2,744,735,129 |
Disclosures
| Regulatory Event | 36 |
| Arbitration | 9 |
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.
