Ricardo Guizar
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 Guizar, who also goes by Richard Guizar, Rick Guizar, was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 1993. Ricardo had worked at 3 firms and has passed the Series 63, Series 57TO, Series 99TO, SIE, Series 55, Series 7 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 27, 2019 - July 15, 2024
ST INVEST LLC
August 8, 2017 - September 10, 2019
USAA INVESTMENT SERVICES COMPANY
April 23, 2014 - August 12, 2015
USAA FINANCIAL ADVISORS, INC.
July 28, 1993 - August 12, 2015
USAA INVESTMENT SERVICES 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
Series 57TO
Date: 1/2/2023
Securities Trader ExamSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 55
Date: 9/2/1999
Limited Representative-Equity Trader ExamCurrent Firm
ST INVEST LLC
CRD#: 297470 / SEC#: , 8-70135
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 2 |
Red Flags
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