Bob A. Ricks
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.
Bob Alonzo Ricks, who also goes by Bob Alonzo Ricks Jr, was a registered financial professional .
Bob is a previously registered financial professional and started their career in finance in 1998. Bob had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
August 16, 2017 - April 3, 2019
SECURIAN FINANCIAL SERVICES, INC.
August 16, 2017 - April 3, 2019
CRI SECURITIES, LLC
February 19, 2014 - January 23, 2017
HORNOR, TOWNSEND & KENT, LLC
May 1, 2013 - January 8, 2014
PRUCO SECURITIES, LLC.
January 19, 2011 - March 15, 2013
LINCOLN FINANCIAL DISTRIBUTORS, INC.
October 17, 2006 - February 11, 2011
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 4, 2003 - February 24, 2006
LINCOLN FINANCIAL DISTRIBUTORS, INC.
July 26, 2002 - February 18, 2003
TOWER SQUARE SECURITIES, INC.
December 31, 2000 - June 19, 2002
LINCOLN FINANCIAL DISTRIBUTORS, INC.
January 4, 1999 - December 31, 2000
OSAIC FA, INC.
May 1, 1998 - January 12, 1999
VOYA FINANCIAL PARTNERS, LLC
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
SECURIAN FINANCIAL SERVICES, INC.
CRD#: 15296 / SEC#: 801-45152, 8-31955
Contact information
FINRA licenses (51 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| SECURIAN FINANCIAL GROUP, INC. | 100% SHAREHOLDER | |
| CARPENTER, KIMBERLY KAY | MEMBER OF BOARD OF DIRECTORS, CHIEF EXECUTIVE OFFICER & PRESIDENT, CHIEF COMPLIANCE OFFICER, ANTI-MONEY LAUNDERING COMPLIANCE OF | 4266541 |
| FERGUSON, KRISTIN MARY | MEMBER OF BOARD OF DIRECTORS, VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER, FINOP, & PRINCIPAL OPERATIONS OFFICER | 6895121 |
| MONTZ, RENEE DENISE | MEMBER OF BOARD OF DIRECTORS | 6014640 |
| OBRIEN, KERI SUE | SECRETARY | 6821352 |
Regulatory assets under management
| Total Number of Accounts | 76,075 |
| AUM (Assets Under Management) | $ 20,684,796,225 |
Disclosures
| Regulatory Event | 10 |
| Arbitration | 3 |
| Bond | 10 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 01/30/2023 |
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.
