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Ricardo Cabezas

Some features on this profile are disabled
CRD#: 2809119
RC

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 Cabezas, who also goes by Rick Cabezas, was a registered financial professional .

Ricardo is a previously registered financial professional and started their career in finance in 1996. Ricardo had worked at 12 firms and has passed the Series 63, Series 66, SIE, Series 3, Series 7 and Series 24 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Rick Cabezas

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)

The CRS(Customer Relationship Summary) document is not provided.

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

Past

September 27, 2021 - December 16, 2024

WEILD & CO.

BD
CRD#: 132398
BOULDER, CO
Past

September 1, 2017 - August 13, 2019

XNERGY FINANCIAL LLC

BD
CRD#: 144436
LOS ANGELES, CA
Past

March 16, 2015 - March 3, 2017

XNERGY FINANCIAL LLC

BD
CRD#: 144436
Los Angeles, CA
Past

July 23, 2012 - December 20, 2012

INNOVATION PARTNERS LLC

BD
CRD#: 146344
CHARLOTTE, NC
Past

June 30, 2008 - November 10, 2009

NEWPORT COAST SECURITIES, INC.

BD
CRD#: 16944
PARAMOUNT, CA
Past

April 18, 2005 - July 25, 2006

EKN FINANCIAL SERVICES INC.

BD
CRD#: 113525
LOS ANGELES, CA
Past

December 1, 2000 - July 7, 2003

BROOKSTREET SECURITIES CORPORATION

BD
CRD#: 14667
SAN JUAN CAPISTRANO, CA
Past

July 18, 2000 - October 12, 2000

FIRST COLONIAL SECURITIES

BD
CRD#: 25121
BOCA RATON, FL
Past

November 15, 1999 - August 16, 2000

R.K. GRACE & COMPANY

BD
CRD#: 35203
MIAMI, FL
Past

April 29, 1998 - August 25, 1999

CAPITAL INTERNATIONAL SECURITIES GROUP, INC.

BD
CRD#: 29771
MIAMI, FL
Past

April 7, 1998 - May 12, 1998

TRADEWAY SECURITIES GROUP, INC.

BD
CRD#: 29794
CARLSBAD, CA
Past

January 6, 1997 - April 9, 1998

MERIT CAPITAL ASSOCIATES, INC.

BD
CRD#: 30576
WESTPORT, CT
Past

October 22, 1996 - January 20, 1997

KENNY SECURITIES CORP.

BD
CRD#: 37552
ST. LOUIS, MO

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.

Exams

State Security Law Exam
RR
Series 63
Date: 9/10/2021
Uniform Securities Agent State Law Examination
State Security Law Exam
RR
IAR
Series 66
Date: 2/19/2015
Uniform Combined State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 3
Date: 7/9/2011
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 10/21/1996
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 12/13/2005
General Securities Principal Examination

Current Firm

W&
WEILD & CO.
CMA PARTNERS, LLC | WEILD CAPITAL, LLC | WEILD & CO., LLC | WEILD & CO. | THE NATIONAL RESEARCH STANDARD, INC. | THE NATIONAL RESEARCH STANDARD | THE NATIONAL RESEARCH EXCHANGE | ISSUWORKS CAPITAL, LLC

CRD#: 132398 / SEC#: , 8-66593

BD
Broker-Dealer Firm Regulated by FINRA (Denver district office)
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Contact information

Main Address
777 29th Street Suite 402, Boulder, CO 80303
Mailing Address
777 29th Street Suite 402, Boulder, CO 80303
Phone number
(303) 223-9621
Established
New York since 10/22/2007
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Small
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
WEILD & CO., INC.SOLE MEMBER
ONESTO, RICHARD ERNESTFINOP2453096
WEILD, DAVID IVMEMBER, CHAIRMAN AND CEO1336395
WEILD, DAVID IVCHIEF COMPLIANCE OFFICER, AML PRINCIPAL1336395

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.

Company Information

WEILD & CO.

CRD#: 132398

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