Ricky L. Snyder

QUINT CAPITAL

NEW YORK, NY 10169

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CRD#: 2796049

Professional summary

Ricky Lynn Snyder, who also goes by Rick Snyder, is a registered financial professional currently at QUINT CAPITAL CORPORATION located in New York, New York.

Ricky is registered as a RR (Registered Representative) and started their career in finance in 1996. Ricky has worked at 12 firms and has passed the Series 63, Series 99TO, Series 52TO, SIE, Series 86, Series 87, Series 55, Series 7, Series 24 and Series 53 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Rick Snyder

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.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ricky Lynn Snyder's CRS (Customer Relationship Summary).

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®

None

Experience

Current

August 8, 2023 - Present

QUINT CAPITAL CORPORATION

Office #1: 230 Park Ave - 361w, New York, NY 10169

RIA

CRD#: 26586

NEW YORK, NY

Past

August 21, 2020 - December 5, 2022

QUINT CAPITAL CORPORATION

CRD#: 26586

NEW YORK, NY

Past

March 27, 2018 - February 3, 2020

CLEARVIEW TRADING ADVISORS, INC.

CRD#: 142873

TENAFLY, NJ

Past

August 4, 2017 - October 1, 2017

NEW ALBION PARTNERS LLC

CRD#: 119518

NEW YORK, NY

Past

August 14, 2015 - January 29, 2016

ODEON CAPITAL GROUP LLC

CRD#: 148493

NEW YORK, NY

Past

October 6, 2010 - August 20, 2015

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

August 17, 2010 - October 5, 2010

KERN, SUSLOW SECURITIES, INC.

CRD#: 24755

NEW YORK, NY

Past

October 14, 2009 - May 26, 2010

SHS SECURITIES, INC.

CRD#: 129165

NEW YORK, NY

Past

January 25, 2007 - May 15, 2007

MAXIM GROUP LLC

CRD#: 120708

NEW YORK, NY

Past

January 13, 2006 - January 24, 2007

KEVIN DANN & PARTNERS, LLC

CRD#: 113591

NEW YORK, NY

Past

March 3, 2004 - December 31, 2005

FIRST NEW YORK SECURITIES L.L.C.

CRD#: 16362

NEW YORK, NY

Past

July 10, 1998 - November 28, 2000

MORGAN KEEGAN & COMPANY, LLC

CRD#: 4161

MEMPHIS, TN

Past

November 29, 1997 - July 1, 1998

CITIGROUP GLOBAL MARKETS INC.

CRD#: 7059

NEW YORK, NY

Past

September 23, 1996 - July 1, 1998

SALOMON BROTHERS INC.

CRD#: 740

NEW YORK, NY

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

QUINT CAPITAL CORPORATION

CRD#: 26586 / SEC#: 801-128990, 8-42649

RIA

Registered Investment Advisory firm - SEC (11/8/2023 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/29/2023 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (12/12/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (12/3/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

Series 63

Date: 10/5/2009

Uniform Securities Agent State Law Examination

General Industry/Product Exam

Series 99TO

Date: 1/2/2023

Operations Professional Examination

General Industry/Product Exam

Series 52TO

Date: 1/2/2023

Municipal Securities Representative Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 86

Date: 10/5/2011

Research Analyst Exam - Part I Analysis Module

General Industry/Product Exam

Series 87

Date: 9/20/2011

Research Analyst Exam - Part II Regulations Module

General Industry/Product Exam

Series 55

Date: 2/25/2004

Limited Representative-Equity Trader Exam

General Industry/Product Exam

Series 7

Date: 9/20/1996

General Securities Representative Examination

Principal/Supervisory Exam

Series 24

Date: 9/19/2023

General Securities Principal Examination

Principal/Supervisory Exam

Series 53

Date: 11/5/2020

Municipal Securities Principal Examination

SRO Registrations

FINRA

Current Firm

QUINT CAPITAL CORPORATION

CRD#: 26586 / SEC#: 801-128990, 8-42649

RIA

Registered Investment Advisory firm - SEC (11/8/2023 Approved)

Connecticut

Registered Investment Advisory firm - SEC (11/29/2023 Terminated)

Florida

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

New Jersey

Registered Investment Advisory firm - SEC (12/12/2023 Terminated)

New York

Registered Investment Advisory firm - SEC (11/22/2023 Terminated)

Rhode Island

Registered Investment Advisory firm - SEC (12/3/2015 Terminated)

Broker-Dealer Firm Regulated by FINRA (New York district office)

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Contact information

Main Address

230 Park Ave - 361w, New York, NY 10169

Mailing Address

230 Park Ave 3rd Floor West, New York, NY 10169

Phone number

(212) 682-5090

Established

Florida since 05/28/1989

Firm type

Corporation

Fiscal year end

June

Firm Size

Small

# of Employees

SEC notice filing (7 States and Territories)

FINRA licenses (31 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

FORM ADV PART 2A-SEPT 30 2024 (9/30/2024)

Direct owners and executive officers

Name	Position	CRD#
QCAP HOLDINGS LLC (NAME CHANGE FROM QUINT CAPITAL LLC	OWNER
ACHZET, DAVID EDWARD	CHIEF COMPLIANCE OFFICER	1209132
PETERS, ROBERT WILLIAM	FINOP	1704577
QUINT, ALEXANDER NORMAN	CEO	1012135

Regulatory assets under management

Total Number of Accounts	73
AUM (Assets Under Management)	$ 147,573,714

Disclosures

Regulatory Event

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.

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Advisor Monitoring

Firm Stability Insights

Ricky L. Snyder

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Ricky Lynn Snyder's CRS (Customer Relationship Summary).

Certified licenses

Experience

QUINT CAPITAL CORPORATION

CLEARVIEW TRADING ADVISORS, INC.

NEW ALBION PARTNERS LLC

ODEON CAPITAL GROUP LLC

MAXIM GROUP LLC

KERN, SUSLOW SECURITIES, INC.

SHS SECURITIES, INC.

MAXIM GROUP LLC

KEVIN DANN & PARTNERS, LLC

FIRST NEW YORK SECURITIES L.L.C.

MORGAN KEEGAN & COMPANY, LLC

CITIGROUP GLOBAL MARKETS INC.

SALOMON BROTHERS INC.

Primary Firm SEC Registration

QUINT CAPITAL CORPORATION

State Registrations and Notice Filings

Exams

Series 63

Date: 10/5/2009

Series 99TO

Date: 1/2/2023

Series 52TO

Date: 1/2/2023

SIE

Date: 10/1/2018

Series 86

Date: 10/5/2011

Series 87

Date: 9/20/2011

Series 55

Date: 2/25/2004

Series 7

Date: 9/20/1996

Series 24

Date: 9/19/2023

Series 53

Date: 11/5/2020

FINRA

Current Firm

QUINT CAPITAL CORPORATION

Contact information

SEC notice filing (7 States and Territories)

FINRA licenses (31 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

QUINT CAPITAL CORPORATION

TRUST BUT VERIFY

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