Rickie C. Ames
Professional summary
Rickie Charles Ames, who also goes by Rick Ames, is a registered financial advisor currently at AMES FINANCIAL SERVICES located in Anaheim, California.
Rickie is registered as an IAR (Investment Advisor Representative) and started their career in finance in 1985. Rickie has worked at 4 firms and has passed the Series 7 exam.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - RIA
Click below to view Rickie Charles Ames's CRS (Customer Relationship Summary).
Certified licenses
Experience
December 4, 2019 - Present
AMES FINANCIAL SERVICES
Office #1: 1475 S State College Blvd Ste 114, Anaheim, CA 92806August 5, 1994 - September 6, 2001
SIGNAL SECURITIES, INC.
November 13, 1986 - August 2, 1994
NIF SECURITIES, INC.
November 20, 1985 - April 29, 1986
ASSOCIATED SECURITIES CORP.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Highlighted states indicate IAR registrations
(12/4/2019)
Exams
Current Firm
AMES FINANCIAL SERVICES
CRD#: 137261 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 105 |
| AUM (Assets Under Management) | $ 9,033,023 |
Red Flags
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