Ricardo Almaguer
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 Almaguer, who also goes by Rick Alamaguer, Rick Almaguer, was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 1994. Ricardo had worked at 9 firms and has passed the Series 65, Series 63, Series 99TO, SIE, Series 7, Series 14, Series 53 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
June 15, 2005 - January 15, 2011
SCF SECURITIES, INC.
April 8, 2005 - October 23, 2007
BURCH & COMPANY, INC
July 30, 2004 - December 6, 2007
REGAL SECURITIES, INC.
February 6, 2003 - September 5, 2025
SCF INVESTMENT ADVISORS, INC.
October 12, 2000 - December 31, 2001
IAC SECURITIES, INC.
January 11, 2000 - September 5, 2025
SCF SECURITIES, INC.
April 27, 1998 - October 1, 1999
WALL STREET FINANCIAL GROUP, INC.
July 13, 1995 - January 13, 1997
CENTAURUS FINANCIAL, INC.
May 11, 1995 - June 27, 1995
NYLIFE SECURITIES LLC
September 27, 1994 - March 30, 1995
INTERFIRST CAPITAL CORPORATION
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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SCF SECURITIES, INC.
CRD#: 47275 / SEC#: , 8-51760
Contact information
FINRA licenses (5 States and Territories)
Documents
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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