Ricardo D. Dugenia
Professional summary
Ricardo Duran Dugenia JR, who also goes by Ric Dugenia Jr, Ricardo Duran Dugenia, Ricardo Dugenia Jr, Rick Dugenia Jr, is a registered financial professional currently at TRANSAMERICA FINANCIAL ADVISORS, LLC located in Burlingame, California.
Ricardo is registered as a RR (Registered Representative) and started their career in finance in 1998. Ricardo has worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ricardo Duran Dugenia JR's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 6, 2012 - Present
TRANSAMERICA FINANCIAL ADVISORS, LLC
Office #1: 1601 Bayshore Hwy. Suite 144, Burlingame, CA 94010April 12, 2002 - January 6, 2012
WORLD GROUP SECURITIES, INC.
March 21, 2001 - April 12, 2002
WMA SECURITIES, INC.
March 23, 1998 - February 6, 2001
WMA SECURITIES, INC.
Primary Firm SEC Registration
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/6/2012)
Exams
FINRA
Current Firm
TRANSAMERICA FINANCIAL ADVISORS, LLC
CRD#: 16164 / SEC#: 801-38618, 8-33429
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
Regulatory assets under management
| Total Number of Accounts | 42,440 |
| AUM (Assets Under Management) | $ 1,730,669,809 |
Disclosures
| Regulatory Event | 19 |
| Arbitration | 3 |
| Bond | 3 |
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.
