RD
Ricardo De La Garza Emerich
PRIVATE PORTFOLIO
San Pedro Garza Garcia, 66260
Some features on this profile are disabled
CRD#: 4246723
RD
Professional summary
Ricardo De La Garza Emerich is a registered financial advisor currently at PRIVATE PORTFOLIO, INC. .
Ricardo is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2000. Ricardo has worked at 6 firms and has passed the Series 63, Series 99TO, SIE, Series 3, Series 7, Series 28 and Series 24 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
None
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.
INTEGRA CONSULTING, LLC - FORMALLY BASE SECURITIES, HOUSTON, TX - START 06/2004; EMPLOYEE, PART OWNER. SELL RISK MANAGEMENT SOFTWARE. TWO HOURS PER MONTH. PAID VIA SALARY AND COMMISSIONS. RICA HOLDINGS, SA DE CV - HOLDING COMPANY THAT OWNS 50% OF INTEGRA CONSULTING, LLC. THIS IS ONLY A HOLDING COMPANY WITH NO INCOME. RR SPENDS APPROX 30 MINUTES PER MONTH ON THIS ACTIVITY. NO SALARY OR COMMISSIONS. MAN INVESTMENTS, RIVERBANK HOUSE, 2 SWAN LANE, LONDON, EC4R 3AD, UNITED KINGDOM. PROVIDES INVESTMENT OPTIONS IN SEVERAL HEDGE FUNDS THAT WOULD OTHERWISE BE UNAVAILABLE THROUGH MY CURRENT CUSTODIAL PLATFORM. APPROX 2 HOURS PER MONTH. NO SALARY OR COMMISSIONS. Coquest Inc., 12222 Merit Drive suite 1130, Dallas Texas, 75251. START JULY 2021. COMMODITIES FUTURES BROKER. OFFERING MANAGE FUTURES AND HEDGING. 8 HOURS PER MONTH. PAID ONLY COMMISSIONS. SUMMA ASSET MANAGEMENT CORP. Avenida La Rotonda y Transversal, Costa del Este, PH Prime Time Tower, Piso 12 - Oficina 12C1, Panama City, Panama. START JULY 2022. REFERENCE CLIENTS FOR INVESTMENT OUTSIDE THE USA, MEXICO AND EUROPE. TWO HOURS PER MONTH. WILL BE PAID REFERRAL FEES.
CRS (Client Relationship Summary) - RIA
Click below to view Ricardo De La Garza Emerich's CRS (Customer Relationship Summary).
CRS (Client Relationship Summary) - BD
Click below to view Ricardo De La Garza Emerich's CRS (Customer Relationship Summary).
Certified licenses
Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
NoneExperience
Current
November 2, 2022 - Present
PRIVATE PORTFOLIO, INC.
Office #1: Torre Alestra 391 Colonia Residencial San Agustin, San Pedro Garza Garcia 66260Office #2: 7816 Ivanhoe Ave. Ste #10, La Jolla, CA 92037RIA
BD
CRD#: 36644
San Pedro Garza Garcia,
Current
July 15, 2022 - Present
PRIVATE PORTFOLIO, INC.
Office #1: 7816 Ivanhoe Ave. Ste #10, La Jolla, CA 92037RIA
BD
CRD#: 36644
La Jolla, CA
Past
January 2, 2014 - July 8, 2022
TITLEIST CAPITAL, LLC
BD
CRD#: 126136
HOUSTON, TX
Past
March 16, 2010 - January 7, 2014
ARGENTUS SECURITIES, LLC
BD
CRD#: 45915
GARCIA, NL,
Past
December 7, 2004 - November 30, 2010
BASE SECURITIES, LLC
BD
CRD#: 131922
HOUSTON, TX
Past
February 6, 2003 - June 14, 2004
BANORTE SECURITIES INTERNATIONAL, LTD.
BD
CRD#: 30648
HOUSTON, TX
Past
August 3, 2000 - June 11, 2002
CAMBRIDGE GROUP INVESTMENTS, LTD.
BD
CRD#: 47399
LANSING, MI
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
IAR
means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.Visual representation of state registrations
RR
California(7/15/2022)
RR
Texas(7/15/2022)
IAR
Texas(11/2/2022)
Exams
State Security Law Exam
General Industry/Product Exam
RR
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationGeneral Industry/Product Exam
General Industry/Product Exam
General Industry/Product Exam
Principal/Supervisory Exam
RR
Series 28
Date: 7/1/2004
Introducing Broker/Dealer Financial Operations Principal ExaminationPrincipal/Supervisory Exam
SRO Registrations
RR
FINRA
Current Firm
PP
PRIVATE PORTFOLIO, INC.
PRIVATE BROKERAGE | PRIVATE PORTFOLIO, INC. | PRIVATE PORTFOLIO OF SAN DIEGO, INC. | PRIVATE PORTFOLIO OF SAN DIEGO
CRD#: 36644 / SEC#: 801-69346, 8-47421
RIA
Registered Investment Advisory firm - SEC (8/27/2012 Terminated)Arizona
Registered Investment Advisory firm - SEC (11/14/2022 Terminated)California
Registered Investment Advisory firm - SEC (4/3/2012 Approved)Florida
Registered Investment Advisory firm - SEC (6/14/2012 Approved)Pennsylvania
Registered Investment Advisory firm - SEC (12/9/2014 Terminated)Texas
Registered Investment Advisory firm - SEC (7/7/2014 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Los Angeles district office)
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Contact information
Main Address
7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037
Mailing Address
7816 Ivanhoe Ave Ste 10, La Jolla, CA 92037-4535
Phone number
(858) 551-2071
Established
California since 05/18/1994
Firm type
Corporation
Fiscal year end
December
Firm Size
Small
# of Employees
20
FINRA licenses (12 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 93 |
| AUM (Assets Under Management) | $ 91,500,000 |
Disclosures
| Regulatory Event | 1 |
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.
