Tommy E. Ricks
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.
Tommy Edward Ricks, CFP® was a registered financial professional .
Tommy is a previously registered financial professional and started their career in finance in 1992. Tommy had worked at 8 firms and has passed the Series 65, Series 63, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Start date: 2002
Experience
April 9, 2007 - July 1, 2025
ETEXFINANCIAL, INC.
September 11, 2006 - May 25, 2012
BRAZOS SECURITIES, INC.
September 11, 2006 - May 25, 2012
BRAZOS SECURITIES, INC.
February 23, 2005 - September 12, 2006
MML INVESTORS SERVICES, LLC
February 23, 2005 - September 12, 2006
MML INVESTORS SERVICES, LLC
July 12, 2002 - February 9, 2005
OSAIC FA, INC.
June 5, 2002 - February 9, 2005
THE LINCOLN NATIONAL LIFE INSURANCE COMPANY
June 5, 2002 - February 9, 2005
OSAIC FA, INC.
September 13, 1999 - September 23, 2000
AETNA FINANCIAL SERVICES, INC.
October 22, 1993 - June 12, 2002
VOYA FINANCIAL PARTNERS, LLC
October 15, 1993 - June 12, 2002
VOYA FINANCIAL PARTNERS, LLC
August 3, 1992 - October 15, 1993
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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
ETEXFINANCIAL, INC.
CRD#: 142696 / SEC#:
Contact information
Regulatory assets under management
| Total Number of Accounts | 2 |
| AUM (Assets Under Management) | $ 325,083 |
Red Flags
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Check for any disclosures as part of your thorough research when choosing an advisor.
