RM
Ricardo Mora
HPS SECURITIES
Palm Beach Gardens, FL 33410
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CRD#: 2314310
RM
Professional summary
Ricardo Mora is a registered financial professional currently at HPS SECURITIES, LLC located in Palm Beach Gardens, Florida.
Ricardo is registered as a RR (Registered Representative) and started their career in finance in 1993. Ricardo has worked at 4 firms and has passed the Series 63, SIE, Series 7, Series 10, Series 24, Series 9, Series 23 and Series 8 exams.
Question & Answer
Are you a "fiduciary"?
No
Aliases
None
Other business activities
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.
CRS (Client Relationship Summary) - BD
Click below to view Ricardo Mora's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
May 8, 2024 - Present
HPS SECURITIES, LLC
Office #1: North Building 3835 Pga Blvd. 10th Floor, Palm Beach Gardens, FL 33410BD
CRD#: 319197
Palm Beach Gardens, FL
Past
May 29, 2008 - January 19, 2024
GOLDMAN SACHS & CO. LLC
BD
CRD#: 361
WEST PALM BEACH, FL
Past
July 31, 1995 - May 28, 2008
DEUTSCHE BANK SECURITIES INC.
BD
CRD#: 2525
NEW YORK, NY
Past
March 24, 1993 - July 5, 1995
J.P. MORGAN SECURITIES INC.
BD
CRD#: 18718
NEW YORK, NY
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
Alabama(5/9/2024)
RR
Alaska(5/13/2024)
RR
Arizona(5/22/2024)
RR
Arkansas(5/10/2024)
RR
California(5/9/2024)
RR
Colorado(5/9/2024)
RR
Connecticut(5/10/2024)
RR
Delaware(5/17/2024)
RR
District of Columbia(5/17/2024)
RR
Florida(5/9/2024)
RR
Georgia(5/10/2024)
RR
Hawaii(5/15/2024)
RR
Idaho(5/9/2024)
RR
Illinois(5/16/2024)
RR
Indiana(5/13/2024)
RR
Iowa(5/17/2024)
RR
Kansas(5/8/2024)
RR
Kentucky(5/16/2024)
RR
Louisiana(5/15/2024)
RR
Maine(5/9/2024)
RR
Maryland(5/16/2024)
RR
Massachusetts(5/8/2024)
RR
Michigan(5/10/2024)
RR
Minnesota(5/9/2024)
RR
Mississippi(5/9/2024)
RR
Missouri(5/10/2024)
RR
Montana(5/14/2024)
RR
Nebraska(5/8/2024)
RR
Nevada(5/9/2024)
RR
New Hampshire(5/14/2024)
RR
New Jersey(5/8/2024)
RR
New Mexico(5/13/2024)
RR
New York(5/12/2024)
RR
North Carolina(5/14/2024)
RR
North Dakota(5/13/2024)
RR
Ohio(5/8/2024)
RR
Oklahoma(5/14/2024)
RR
Oregon(5/10/2024)
RR
Pennsylvania(5/9/2024)
RR
Puerto Rico(5/20/2024)
RR
Rhode Island(5/10/2024)
RR
South Carolina(5/15/2024)
RR
South Dakota(5/9/2024)
RR
Tennessee(5/9/2024)
RR
Texas(5/9/2024)
RR
Utah(5/9/2024)
RR
Vermont(5/9/2024)
RR
Virgin Islands(5/9/2024)
RR
Virginia(5/9/2024)
RR
Washington(5/9/2024)
RR
West Virginia(5/9/2024)
RR
Wisconsin(5/9/2024)
RR
Wyoming(5/9/2024)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
Principal/Supervisory Exam
RR
Series 8
Date: 7/16/1998
General Securities Sales Supervisor Examination (Options Module & General Module)SRO Registrations
RR
FINRA
Current Firm
HS
HPS SECURITIES, LLC
HPS SECURITIES, LLC
CRD#: 319197 / SEC#: , 8-70910
BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information
Main Address
40 West 57th Street 33rd Floor, New York, NY 10019
Mailing Address
40 West 57th Street 33rd Floor, New York, NY 10019
Phone number
(212) 287-6767
Established
Delaware since 02/07/2022
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Small
# of Employees
FINRA licenses (53 States and Territories)
Red Flags
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