Rick A. Evans
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.
Rick Arlen Evans, who also goes by Rick A Evans, Rickey Evans, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 2001. Rick had worked at 5 firms and has passed the Series 65, 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
June 14, 2016 - March 30, 2024
MCGUIRE CAPITAL ADVISORS, INC.
June 6, 2016 - August 8, 2018
PURSHE KAPLAN STERLING INVESTMENTS
May 8, 2014 - June 17, 2016
PRINCIPAL SECURITIES, INC.
August 19, 2013 - June 17, 2016
PRINCIPAL SECURITIES, INC.
August 12, 2003 - August 13, 2013
ALLSTATE FINANCIAL SERVICES, LLC
April 8, 2002 - January 10, 2003
ALLSTATE FINANCIAL SERVICES, LLC
August 7, 2001 - March 20, 2002
EDWARD JONES
Primary Firm SEC Registration
MCGUIRE CAPITAL ADVISORS, INC.
CRD#: 164549 / SEC#: 801-133863
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
MCGUIRE CAPITAL ADVISORS, INC.
CRD#: 164549 / SEC#: 801-133863
Contact information
SEC notice filing (2 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,689 |
| AUM (Assets Under Management) | $ 116,140,538 |
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.
