John Joe Ricketts
Professional Summary
John Joe Ricketts, who also goes by John Joseph Ricketts, was a registered financial advisor. John was a previously registered financial professional and started their career in finance 1969 - 2002. John had worked at 6 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
At a Glance
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Fiduciary Standard
Fee Structure
Account Minimum
Active Clients
Other Aliases
John Joseph Ricketts
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Videos & Posts
This advisor has not added any videos or posts yet.
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Contact Information
No current employment
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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.
Disclosures on record.
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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Years of Experience
57 years in the financial services industry
Current & Past Employments
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Current Firm
AUFHAUSER | K. AUFHAUSER & COMPANY, INC. | K. AUFHAUSER | FREETRADE.COM, INC. | AUFHAUSER SECURITIES
Contact Information
Established
New York since 02/24/1984Firm Type
CorporationFiscal Year End
SeptemberDocuments
Direct owners and executive officers
Disclosures
Regulatory Event
2Arbitration
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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.
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State Registrations and Notice Filings
Exams
Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.
Series 1 — Registered Representative Examination
Passed Jan 1969F04 — Financial Principal Examination
Passed Aug 1976Series 00 — General Securities Principal Examination
Passed May 1975Similar Advisors
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CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.Similar Advisors
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