Ricardo Islas
Professional summary
Ricardo Islas, who also goes by Ricardo Islas Jr, Ricardo Islas, Ricky Islas Jr, is a registered financial professional currently at CETERA WEALTH SERVICES, LLC located in El Segundo, California.
Ricardo is registered as a RR (Registered Representative) and started their career in finance in 1999. Ricardo has worked at 10 firms and has passed the Series 63, Series 7TO, Series 57TO, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ricardo Islas's CRS (Customer Relationship Summary).
Certified licenses
Experience
May 28, 2025 - Present
CETERA WEALTH SERVICES, LLC
Office #1: 2301 Rosecrans Ave #5100, El Segundo, CA 90245January 28, 2019 - April 22, 2020
CETERA INVESTMENT SERVICES LLC
January 28, 2019 - April 22, 2020
CETERA WEALTH SERVICES, LLC
January 26, 2018 - August 17, 2018
NATIONAL FINANCIAL SERVICES LLC
September 29, 2015 - August 9, 2018
FIDELITY BROKERAGE SERVICES LLC
June 10, 2003 - December 31, 2003
VESTAX SECURITIES CORPORATION
June 10, 2003 - December 31, 2003
LOCUST STREET SECURITIES, INC.
June 10, 2003 - December 31, 2003
IFG NETWORK SECURITIES, INC.
June 10, 2003 - September 24, 2007
CETERA ADVISORS LLC
June 10, 2003 - September 24, 2007
VOYA FINANCIAL ADVISORS, INC.
February 7, 2000 - August 11, 2015
CETERA WEALTH SERVICES, LLC
September 27, 1999 - January 20, 2000
INTERFIRST CAPITAL CORPORATION
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
Series 7TO
Date: 4/3/2024
General Securities Representative ExaminationSeries 57TO
Date: 4/3/2024
Securities Trader ExamSeries 55
Date: 4/16/2001
Limited Representative-Equity Trader ExamFINRA
Current Firm
CETERA WEALTH SERVICES, LLC
CRD#: 13572 / SEC#: 801-47342, 8-29577
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CETERA FINANCIAL GROUP, INC. | SOLE MEMBER | |
| BUCHHEISTER, JEFFREY ROBERT | CHIEF FINANCIAL OFFICER | 4709900 |
| BUDEVICH, SERGE | VICE PRESIDENT AND TAX OFFICER | 7996345 |
| BURKOTT, DANIEL PAUL | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 4710068 |
| COAXUM, KOFI SULE | VICE PRESIDENT | 5150018 |
| DOWELL, RODNEY CAMMERON | PRINCIPAL FINANCIAL OFFICER AND VICE PRESIDENT | 7376607 |
| FRIES, MATTHEW NEIL KALANI | VICE PRESIDENT | 2723824 |
| GOK, LISA ANNE | SECRETARY | 5059738 |
| GOOLEY, THOMAS ANDREW | MANAGER | 4526760 |
| HALLORAN, THOMAS WILLIAM | VICE PRESIDENT | 1921834 |
| HOLWEGER, KIMBERLEY | CHIEF OPERATING OFFICER AND PRINCIPAL OPERATIONS OFFICER | 1572778 |
| LEE, WINNIE AI-LING | ASSISTANT SECRETARY | 7381661 |
| MACKAY, TODD CHRISTOPHER | CHIEF EXECUTIVE OFFICER | 2799860 |
| MCCALLOP, PATRICIA RUTHERFORD | BROKER DEALER CO-CHIEF COMPLIANCE OFFICER | 5059176 |
| MIZUGUCHI, MAURA | CHIEF ACCOUNTING OFFICER AND TREASURER | 5769181 |
| NEARY, JOSEPH DANIEL | MANAGER AND VICE PRESIDENT | 2993505 |
| RAMOS, RAMON | MONEY LAUNDERING REPORTING OFFICER | 2160203 |
| SMILEY, STANLEY ROBERT | VICE PRESIDENT | 3004604 |
| STINSON, TIMOTHY EARL MCCOY | PRESIDENT AND MANAGER | 2272183 |
| STONE, TIMOTHY PATRICK | VICE PRESIDENT | 3038963 |
| VAN HAVERMAAT, DAVID JAMES | ASSISTANT SECRETARY | 7042846 |
| WATTS, ANDREW DAVID | VICE PRESIDENT | 4780880 |
Regulatory assets under management
| Total Number of Accounts | 192,956 |
| AUM (Assets Under Management) | $ 46,651,447,975 |
Disclosures
| Regulatory Event | 19 |
| Civil Event | 2 |
| Arbitration | 15 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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