Ricardo A. Broome
Professional summary
Ricardo Athelstone Broome was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ricardo is a previously registered financial professional and started their career in finance in 2000. Prior to being barred, Ricardo had worked at 18 firms, which includes CHELSEA FINANCIAL SERVICES, WOODSTOCK FINANCIAL GROUP INC., GLOBAL ARENA CAPITAL CORP, WINDSOR STREET CAPITAL LP, SPARTAN CAPITAL SECURITIES LLC, LEGEND MERCHANT GROUP INC., CHARLES MORGAN SECURITIES INC., CALDWELL INTERNATIONAL SECURITIES, NATIONAL SECURITIES CORPORATION, J.D. NICHOLAS & ASSOCIATES INC., BROOKVILLE CAPITAL PARTNERS, GUNNALLEN FINANCIAL INC, EKN FINANCIAL SERVICES INC., EMPIRE FINANCIAL GROUP INC., JOSEPH STEVENS & CO. INC., HAPOALIM SECURITIES USA INC., NEW WORLD FINANCIAL INC., CONTINENTAL BROKER-DEALER CORP..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 14, 2014 - July 13, 2015
CHELSEA FINANCIAL SERVICES
September 20, 2013 - March 11, 2014
WOODSTOCK FINANCIAL GROUP, INC.
August 21, 2013 - August 22, 2013
GLOBAL ARENA CAPITAL CORP
August 21, 2013 - September 17, 2013
WINDSOR STREET CAPITAL, LP
April 25, 2011 - April 20, 2012
SPARTAN CAPITAL SECURITIES, LLC
November 2, 2010 - April 19, 2011
LEGEND MERCHANT GROUP, INC.
September 13, 2010 - November 18, 2010
CHARLES MORGAN SECURITIES, INC.
June 30, 2010 - September 13, 2010
CALDWELL INTERNATIONAL SECURITIES
May 28, 2008 - July 7, 2010
WINDSOR STREET CAPITAL, LP
February 20, 2008 - June 30, 2008
NATIONAL SECURITIES CORPORATION
December 3, 2007 - January 7, 2008
J.D. NICHOLAS & ASSOCIATES, INC.
June 25, 2007 - November 29, 2007
BROOKVILLE CAPITAL PARTNERS
December 19, 2006 - June 22, 2007
GUNNALLEN FINANCIAL, INC
April 7, 2006 - December 19, 2006
EKN FINANCIAL SERVICES INC.
March 21, 2006 - March 29, 2006
EMPIRE FINANCIAL GROUP, INC.
September 16, 2002 - March 3, 2006
GUNNALLEN FINANCIAL, INC
July 18, 2001 - October 9, 2002
JOSEPH STEVENS & CO., INC.
July 3, 2001 - July 10, 2001
HAPOALIM SECURITIES USA, INC.
April 6, 2001 - June 18, 2001
NEW WORLD FINANCIAL, INC.
November 30, 2000 - January 11, 2001
CONTINENTAL BROKER-DEALER CORP.
November 30, 2000 - March 20, 2001
HAPOALIM SECURITIES USA, INC.
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
CHELSEA FINANCIAL SERVICES
CRD#: 47770 / SEC#: , 8-51916
Contact information
FINRA licenses (51 States and Territories)
Disclosures
| Regulatory Event | 4 |
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