Ricardo Millet
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 Millet, who also goes by Ricardo Ogando, was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 2000. Ricardo had worked at 9 firms and has passed the Series 66, Series 63, SIE and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 23, 2017 - May 15, 2017
SECURIAN FINANCIAL SERVICES, INC.
March 20, 2017 - May 15, 2017
SECURIAN FINANCIAL SERVICES, INC.
November 24, 2015 - October 6, 2016
STRATEGIC ADVISERS LLC
November 13, 2015 - October 4, 2016
FIDELITY BROKERAGE SERVICES LLC
February 24, 2014 - October 20, 2015
SCOTTRADE, INC.
March 2, 2010 - February 28, 2014
TD AMERITRADE, INC.
March 2, 2010 - February 28, 2014
TD AMERITRADE INVESTMENT MANAGEMENT, LLC
November 11, 2009 - February 28, 2014
TD AMERITRADE, INC.
February 1, 2008 - May 18, 2009
FORESTERS EQUITY SERVICES, INC.
August 6, 2004 - February 1, 2006
TD AMERITRADE, INC.
February 5, 2004 - February 1, 2006
TD AMERITRADE, INC.
December 18, 2003 - February 4, 2004
FORESTERS EQUITY SERVICES, INC.
April 8, 2003 - September 3, 2003
BANC ONE SECURITIES CORPORATION
July 16, 2002 - January 29, 2003
NYLIFE SECURITIES LLC
March 29, 2000 - June 14, 2002
TD AMERITRADE, INC.
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.
