Ricki J. Houston
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.
Ricki Jay Houston was a registered financial professional .
Ricki is a previously registered financial professional and started their career in finance in 1993. Ricki had worked at 4 firms and has passed the Series 63 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 21, 1998 - July 23, 1999
LEGG MASON WOOD WALKER, INCORPORATED
May 3, 1996 - May 7, 1998
PRUDENTIAL EQUITY GROUP, LLC
November 2, 1993 - May 10, 1996
RAYMOND JAMES & ASSOCIATES, INC.
February 18, 1993 - October 6, 1993
CHATFIELD DEAN & CO., INC.
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
LEGG MASON WOOD WALKER, INCORPORATED
CRD#: 6555 / SEC#: , 8-15939
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CITIGROUP GLOBAL MARKETS HOLDINGS INC. | OWNER | |
| HESSLEIN, LAURIE ANN | DIRECTOR | 1158755 |
| MORRIS, JOHN CHURCHILL | CHIEF OPERATION OFFICER | 734315 |
| MORRIS, JOHN CHURCHILL | DIRECTOR | 734315 |
| PEARL, JONATHAN MARK | SENIOR REGISTERED OPTION PRINCIPAL | 839718 |
| PROCOPIO, ROCCO JR | COMPLIANCE REGISTERED OPTION PRINCIPAL | 2663616 |
| SABELHAUS, ROBERT GREGORY | CHIEF EXECUTIVE OFFICER & PRESIDENT | 408581 |
| VERRON, CLIFF | CHIEF FINANCIAL OFFICER/TREASURER | 4332129 |
| WEAVER, BARBARA LITTLE | CHIEF COMPLIANCE OFFICER | 845541 |
Disclosures
| Regulatory Event | 26 |
| Arbitration | 45 |
Red Flags
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.
