Rick R. Tapp
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.
Rick Ray Tapp, who also goes by Ricky Ray Tapp, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 1985. Rick had worked at 8 firms and has passed the Series 66, Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 7, 2009 - May 16, 2013
FROST BROKERAGE SERVICES, INC.
March 10, 2006 - July 23, 2008
1ST GLOBAL ADVISORS INC
May 10, 2000 - July 23, 2008
1ST GLOBAL CAPITAL CORP.
November 24, 1998 - May 1, 2000
CETERA INVESTMENT SERVICES LLC
July 13, 1993 - November 23, 1998
SUNAMERICA SECURITIES, INC.
December 21, 1992 - September 17, 1993
IDS LIFE INSURANCE COMPANY
December 21, 1992 - September 17, 1993
AMERIPRISE FINANCIAL SERVICES, LLC
August 21, 1985 - November 23, 1985
EDWARD JONES
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
FROST BROKERAGE SERVICES, INC.
CRD#: 17465 / SEC#: , 8-35285
Contact information
FINRA licenses (48 States and Territories)
Disclosures
| Regulatory Event | 4 |
| Civil Event | 1 |
| Arbitration | 1 |
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.
