Ricardo Mora
Professional Summary
Ricardo Mora is a registered financial advisor 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.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
There are no additional aliases reported.
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Videos & Posts
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Contact Information
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J.P. MORGAN SECURITIES LLC
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Disclosures on record.
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Years of Experience
33 years in the financial services industry
Current & Past Employments
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J.P. MORGAN SECURITIES LLC
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Current Firm
HPS SECURITIES, LLC
Contact Information
Main Address
40 West 57th Street 33rd Floor, New York, NY 10019Mailing Address
40 West 57th Street 33rd Floor, New York, NY 10019Phone Number
(212) 287-6767Established
Delaware since 02/07/2022Firm Type
Limited Liability CompanyFiscal Year End
MarchFirm Size
SmallFINRA licenses (53 States and Territories)
Registered to provide investment advisory services in 0 US states and territories.
Direct owners and executive officers
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J.P. MORGAN SECURITIES LLC
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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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J.P. MORGAN SECURITIES LLC
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State Registrations and Notice Filings
(5/9/2024)
(5/13/2024)
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Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 10 — General Securities Sales Supervisor - General Module Examination
Passed Jan 2023About the Series 10 examSeries 9 — General Securities Sales Supervisor - Options Module Examination
Passed Jan 2023About the Series 9 examSeries 8 — General Securities Sales Supervisor Examination (Options Module & General Module)
Passed Jul 1998SRO Registrations
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CRS (Client Relationship Summary) - BD
Click below to view Ricardo Mora's CRS (Customer Relationship Summary).
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