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Michael Anthony Ricci Jr

CFP®
CRD# 1961590·Registered 1989 - 2016
Previously Registered: Being a previously registered professional could mean that Michael 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.

Professional Summary

Michael Anthony Ricci JR, CFP®, who also goes by Michael Anthony Jr Ricci, was a registered financial advisor. Michael was a previously registered financial professional and started their career in finance 1989 - 2016. Michael had worked at 6 firms and has passed the Series 63, Series 7 and Series 24 exams.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Michael Anthony Jr Ricci

Blog Corner

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Credentials

CFP®
Certified Financial Planner

Years of Experience

37 years in the financial services industry

Current & Past Employments

VECTOR WEALTH MANAGEMENT, LLC·CRD# 106090
RIA
Minneapolis, MN
January 13, 2014 - November 30, 2016
SECURITIES AMERICA, INC.·CRD# 10205
BD
Lavista, NE
January 19, 1996 - March 13, 1997
CETERA INVESTMENT SERVICES LLC·CRD# 15340
BD
St. Cloud, MN
May 14, 1993 - January 16, 1996
OPPENHEIMER & CO. INC.·CRD# 249
BD
New York, NY
March 23, 1990 - April 16, 1990
JM DISSOLUTION, INC.·CRD# 6980
BD
St. Paul, MN
March 20, 1990 - May 18, 1993
B.C. CHRISTOPHER SECURITIES CO.·CRD# 60
BD
Kansas City, MO
June 20, 1989 - March 23, 1990

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Current Firm

VW
VECTOR WEALTH MANAGEMENT, LLC

VECTOR FINANCIAL NETWORK INC | VECTOR WEALTH MANAGEMENT, LLC | VECTOR FINANCIAL NETWORK, LLC

CRD#: 106090 / SEC#: 801-51685

Contact Information

Main Address

43 Main Street Se Suite 236, Minneapolis, MN 55414

Documents

Latest Form ADV

Part 2 Brochures

VECTOR DISCLOSURE BROCHURE (3/31/2017)

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 63 — Uniform Securities Agent State Law Examination

Passed Aug 1989About the Series 63 exam

Series 7 — General Securities Representative Examination

Passed Jun 1989About the Series 7 exam

Series 24 — General Securities Principal Examination

Passed Feb 1996About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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