Robert E. Ricaud
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.
Robert Edward Ricaud was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1986. Robert had worked at 4 firms and has passed the Series 66, SIE, Series 7, Series 6 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
May 17, 2019 - May 29, 2020
AVANTAX ADVISORY SERVICES
May 14, 2019 - May 29, 2020
AVANTAX INVESTMENT SERVICES, INC.
January 30, 2013 - December 31, 2018
AVANTAX ADVISORY SERVICES
January 4, 2013 - December 31, 2018
AVANTAX INVESTMENT SERVICES, INC.
September 1, 2010 - January 4, 2013
EDWARD JONES
August 11, 2010 - January 4, 2013
EDWARD JONES
January 19, 1987 - August 16, 1989
VESTAX SECURITIES CORPORATION
January 17, 1986 - December 15, 1986
VESTAX SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
AVANTAX ADVISORY SERVICES
CRD#: 104556 / SEC#: 801-29892
Contact information
Regulatory assets under management
| Total Number of Accounts | 140,306 |
| AUM (Assets Under Management) | $ 46,109,939,749 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 12/13/2024 | ||
| 11/28/2023 | ||
| 12/16/2022 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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