Ricardo M. Saltalamachea
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.
Ricardo Mario Saltalamachea, who also goes by Rick Mario Saltalamachea, Rick Saltalamachea, Ricky Mario Saltalamachea, was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 1988. Ricardo had worked at 13 firms and has passed the Series 63, Series 7, Series 27, Series 24 and Series 4 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 4, 2008 - August 9, 2010
CHASE INVESTMENT SERVICES CORP.
May 25, 2007 - June 26, 2007
THINKEQUITY LLC
December 7, 2004 - January 10, 2006
ASHTON-CLAYTON FINANCIAL GROUP, LLC
March 23, 2000 - August 10, 2000
SOGOTRADE, INC.
February 27, 1998 - February 15, 2005
RMS SECURITIES, INC.
September 12, 1995 - April 6, 1998
CLEARING SERVICES OF AMERICA, INC.
April 25, 1995 - September 8, 1995
DONALDSON SECURITIES INCORPORATED
February 1, 1995 - April 19, 1995
CLEARING SERVICES OF AMERICA, INC.
July 11, 1994 - December 21, 1994
TUSCANY EQUITY MANAGEMENT CORPORATI0N
July 28, 1992 - June 8, 1994
PRINCETON SECURITIES CORPORATION
April 3, 1991 - July 21, 1992
GKN SECURITIES CORP.
February 4, 1991 - March 8, 1991
GKN SECURITIES CORP.
October 15, 1990 - December 21, 1990
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC
March 22, 1989 - September 27, 1990
THE STUART-JAMES COMPANY, INCORPORATED
May 25, 1988 - October 2, 1989
F.D. ROBERTS SECURITIES, INC.
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
CHASE INVESTMENT SERVICES CORP.
CRD#: 25574 / SEC#: 801-36407, 8-41840
Contact information
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| BANC ONE CAPITAL HOLDINGS LLC | DIRECT OWNER | |
| ADITYA, MAHESH CHATTA | BOARD MEMBER | 5586574 |
| CHABOT, ALAN JAMES | PRESIDENT & CEO, BOARD MEMBER | 2617874 |
| DAVIS, JAMES HUBER | CHIEF OPERATIONS OFFICER | 4166100 |
| DEEGAN, DANIEL ROBERT | EXECUTIVE VICE PRESIDENT | 1143339 |
| DURKEE, JEFFREY WILLIS | EXECUTIVE VICE PRESIDENT | 1009266 |
| GINDI, SOL | CFO, BOARD MEMBER | 4903526 |
| GRAY, ANNE LOUISE | SENIOR VICE PRESIDENT | 1779722 |
| HAIGIS, PHILIP HOWARD JR. | EXECUTIVE VICE PRESIDENT | 4340276 |
| JULIAN, BETH WILSON | EXECUTIVE VICE PRESIDENT | 1071047 |
| KLEINBAUM, GREGG ADAM | EXECUTIVE VICE PRESIDENT | 2555215 |
| MARTIN, KEVIN LEE | EXECUTIVE VICE PRESIDENT | 2742022 |
| PANTALEO, LAURA ANN | EXECUTIVE VICE PRESIDENT | 1501065 |
| QUINN, JOHN P | EXECUTIVE VICE PRESIDENT,NATIONAL SALES DIRECTOR | 5631540 |
| REED, JAMIE MATTHEW | EXECUTIVE VICE PRESIDENT | 2797383 |
| SKARDA, JOSEPH BRIEL | EXECUTIVE VICE PRESIDENT | 4288186 |
| TEPPER, ERIC DAVID | EXECUTIVE VICE PRESIDENT | 2242377 |
| WILBURN, DOUGLAS FREDERICK | CHIEF COMPLIANCE OFFICER | 1407686 |
Disclosures
| Regulatory Event | 62 |
| Arbitration | 19 |
Red Flags
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