Joseph G. Rickard
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.
Joseph Gerard Rickard, who also goes by Joe Rickard, Joseph Rickard, was a registered financial professional .
Joseph is a previously registered financial professional and started their career in finance in 1994. Joseph had worked at 5 firms and has passed the Series 63, SIE, Series 99, Series 7 and Series 3 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 19, 2016 - September 12, 2023
INCAPITAL DISTRIBUTORS LLC
February 15, 2012 - September 12, 2023
INSPEREX LLC
July 10, 1996 - April 2, 1997
LISS FINANCIAL SERVICES
September 13, 1994 - July 25, 1996
FREDERICK & COMPANY, INC.
April 21, 1994 - September 1, 1994
THE CHICAGO CORPORATION
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
INCAPITAL DISTRIBUTORS LLC
CRD#: 156622 / SEC#: , 8-68814
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| INSPEREX HOLDINGS, LLC | MEMBER: VOTING | |
| BUSSCHER, ARNOLD BRADLEY | CHIEF ADMINSTRATIVE OFFICER AND GENERAL COUNSEL | 2213934 |
| DEEG, ADITI DAVARE | CHIEF FINANCIAL OFFICER; PRINCIPAL FINANCIAL OFFICER; PRINCIPAL OPERATIONS OFFICER; FIN/OP | 4279152 |
| MITCHELL, SCOTT ALEXANDER | CHIEF EXECUTIVE OFFICER | 4717597 |
| PAPAGIANNIS, JAMES JOHN | CHIEF COMPLIANCE OFFICER & AMLCO | 2449960 |
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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