Eduardo C. Rizo
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.
Eduardo Calixto Rizo was a registered financial professional .
Eduardo is a previously registered financial professional and started their career in finance in 1986. Eduardo had worked at 18 firms and has passed the Series 63, Series 66, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2020 - June 23, 2023
WELLS FARGO CLEARING SERVICES, LLC
June 10, 2020 - June 23, 2023
WELLS FARGO CLEARING SERVICES, LLC
July 27, 2017 - June 9, 2020
LPL FINANCIAL LLC
July 11, 2017 - June 9, 2020
LPL FINANCIAL LLC
December 11, 2014 - June 5, 2017
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
December 4, 2014 - June 5, 2017
RAYMOND JAMES FINANCIAL SERVICES, INC.
June 17, 2014 - December 8, 2014
LPL FINANCIAL LLC
June 16, 2014 - December 8, 2014
LPL FINANCIAL LLC
October 29, 2012 - June 26, 2014
CITIGROUP GLOBAL MARKETS INC.
October 26, 2012 - June 26, 2014
CITIGROUP GLOBAL MARKETS INC.
January 19, 2010 - July 11, 2012
LPL FINANCIAL LLC
January 6, 2010 - July 11, 2012
LPL FINANCIAL LLC
October 8, 2008 - October 29, 2009
COLONIAL ASSET MANAGEMENT INC
September 25, 2008 - October 30, 2009
COLONIAL BROKERAGE, INC.
May 25, 2006 - September 19, 2008
OSAIC INSTITUTIONS, INC.
May 1, 2006 - September 19, 2008
OSAIC INSTITUTIONS, INC.
May 26, 2005 - April 20, 2006
CHARLES SCHWAB & CO., INC.
May 24, 2005 - April 20, 2006
CHARLES SCHWAB & CO., INC.
November 20, 1997 - September 29, 2004
CHARLES SCHWAB & CO., INC.
November 17, 1997 - September 29, 2004
CHARLES SCHWAB & CO., INC.
March 20, 1996 - October 31, 1997
CAL FED INVESTMENTS
November 16, 1995 - March 25, 1996
CAPITAL BROKERAGE CORPORATION
October 22, 1994 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
May 18, 1994 - October 25, 1994
WALL STREET ACCESS
February 23, 1993 - May 3, 1994
INVEST FINANCIAL CORPORATION
March 30, 1992 - February 19, 1993
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
June 22, 1990 - March 30, 1992
AMERIFIRST SECURITIES CORPORATION
September 23, 1987 - May 17, 1990
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
July 28, 1986 - April 22, 1987
CARILLON INVESTMENTS, INC.
Primary Firm SEC Registration
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
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
WELLS FARGO CLEARING SERVICES, LLC
CRD#: 19616 / SEC#: 801-37967, 8-37180
Contact information
SEC notice filing (52 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| WACHOVIA SECURITIES FINANCIAL HOLDINGS, LLC | SOLE MEMBER | |
| CRONK, DARRELL | HEAD OF INVESTMENT SOLUTIONS / WIM CHIEF INVESTMENT OFFICER / BOARD OF MANAGERS / CONTROL PRINCIPAL | 2498892 |
| GINDI, SOL | PRESIDENT / HEAD OF WIM DISTRIBUTION / BOARD OF MANAGERS / CONTROL PRINCIPAL | 4903526 |
| KARANIK, ERIK ANTHONY | BOARD OF MANAGERS | 2260890 |
| LACEY, PAUL | PRINCIPAL OPERATIONS OFFICER / CONTROL PRINCIPAL | 5616656 |
| PATEL, RAKESH | CHIEF FINANCIAL OFFICER / BOARD OF MANAGERS | 5385585 |
| SAUNDERS, DAVID WARD | DESIGNATED STATE PRINCIPAL | 2448617 |
| SOMESHWAR, PRASANNA | HEAD OF BANKING, LENDING & TRUST / CONTROL PRINCIPAL | 7491790 |
| SOMMERS, BARRY | CHIEF EXECUTIVE OFFICER / BOARD OF MANAGERS | 2301454 |
| TSAMADIAS, CHRISTOS G | CHIEF COMPLIANCE OFFICER | 5433568 |
Regulatory assets under management
| Total Number of Accounts | 1,327,695 |
| AUM (Assets Under Management) | $ 606,037,831,365 |
Disclosures
| Regulatory Event | 182 |
| Civil Event | 2 |
| Arbitration | 303 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/24/2025 | ||
| 12/11/2023 | ||
| 02/17/2023 |
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.
