Ricky V. Huff
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.
Ricky Vance Huff, who also goes by Rick Vance Huff, was a registered financial professional .
Ricky is a previously registered financial professional and started their career in finance in 2000. Ricky had worked at 4 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
November 7, 2011 - August 19, 2016
INVESTORS CAPITAL CORP.
November 7, 2011 - August 19, 2016
INVESTORS CAPITAL CORP.
May 15, 2009 - November 8, 2011
EDWARD JONES
May 15, 2009 - November 8, 2011
EDWARD JONES
January 1, 2008 - May 15, 2009
WELLS FARGO CLEARING SERVICES, LLC
January 1, 2008 - May 15, 2009
WELLS FARGO CLEARING SERVICES, LLC
February 16, 2001 - January 1, 2008
A. G. EDWARDS & SONS, INC.
February 14, 2000 - January 3, 2008
A. G. EDWARDS & SONS, 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
INVESTORS CAPITAL CORP.
CRD#: 30613 / SEC#: 801-62341, 8-45054
Contact information
Disclosures
| Regulatory Event | 22 |
| Arbitration | 11 |
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.
