John J. Ricketts
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.
John Joe Ricketts, who also goes by John Joseph Ricketts, was a registered financial professional .
John is a previously registered financial professional and started their career in finance in 1969. John had worked at 6 firms and has passed the Series 63, Series 1, F04 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2000 - November 8, 2002
FREETRADE.COM, INC.
January 26, 1995 - March 19, 2007
TD AMERITRADE CLEARING, INC.
October 18, 1994 - April 8, 1998
J.P. SECURITIES, INC.
August 30, 1994 - November 11, 2002
ACCUTRADE INC.
April 25, 1975 - December 31, 1994
TD AMERITRADE CLEARING, INC.
February 28, 1975 - April 25, 1975
RAHEL KNACK & COMPANY
February 6, 1969 - July 6, 1974
DEAN WITTER & CO. INCORPORATED
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 1
Date: 1/30/1969
Registered Representative ExaminationF04
Date: 8/12/1976
Financial Principal ExaminationSeries 00
Date: 5/22/1975
General Securities Principal ExaminationCurrent Firm
FREETRADE.COM, INC.
CRD#: 10752 / SEC#: , 8-32149
Contact information
Documents
Disclosures
| Regulatory Event | 2 |
| Arbitration | 4 |
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.
