RB
Ricky L. Bain
CREATIVE FINANCIAL DESIGNS
LEES SUMMIT, MO
Some features on this profile are disabled
CRD#: 4525494
RB
Professional summary
Ricky L Bain, who also goes by L Rick Bain, Rick L Bain, Ricky L. Bain, is a registered financial advisor currently at CREATIVE FINANCIAL DESIGNS, INC. located in Lees Summit, Missouri and CFD INVESTMENTS, INC. located in Lees Summit, Missouri.
Ricky is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2002. Ricky has worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
Are you a "fiduciary"?
Yes
Aliases
L Rick Bain | Rick L Bain | Ricky L. Bain
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.
1) Lighthouse Financial Strategies; Investment Related; 5145 SW Raintree Pkwy, Lees Summit, Missouri 64082; Life, Health, Disability, Long Term Care Insurance and Financial Adviser; Founder & Advisor; 11/2023; 175 hours/Month; 6 hours/ month; Manage all aspects of financial advisory business and staff. 2) CREATIVE FINANCIAL DESIGN, INC. 2704 S GOYER RD, KOKOMO, IN 46902. INVESTMENT ADVISOR REPRESENTATIVE 4) Base 105-REFERRAL FEES FROM TAX PLANNING COMPANY. Not Investments related- - 1 HR/MONTH 5) IDENTITY THEFT & PREPAID LEGAL SERVICES/SALES - ASSOCIATE - 1 HR/MONTH 6) LFS Properties, LLC25% OWNER OF OFFICE BUILDING 4 HRS/MONTH 7. Lighthouse Tax Strategies, LLC-Tax Preparation Services-49% Owner-Revenue Sharing-Not investment related-Lees Summit MO
CRS (Client Relationship Summary) - RIA
Click below to view Ricky L Bain'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
October 23, 2007 - Present
CREATIVE FINANCIAL DESIGNS, INC.
Office #2: 8730 Bourgade Ave Suite #100, Lenexa, KS 66219RIA
CRD#: 109032
LEES SUMMIT, MO
Current
October 23, 2007 - Present
CFD INVESTMENTS, INC.
Office #2: 8730 Bourgade Ave Suite #100, Lenexa, KS 66219BD
CRD#: 25427
LEES SUMMIT, MO
Past
March 29, 2007 - October 24, 2007
SECURITIES AMERICA ADVISORS, INC.
RIA
CRD#: 110518
LEE'S SUMMIT, MO
Past
March 29, 2007 - October 24, 2007
SECURITIES AMERICA, INC.
BD
CRD#: 10205
LEES SUMMIT, MO
Past
February 9, 2004 - March 29, 2007
CFD INVESTMENTS, INC.
BD
CRD#: 25427
LEE'S SUMMIT, MO
Past
February 4, 2004 - March 29, 2007
CREATIVE FINANCIAL DESIGNS, INC.
RIA
CRD#: 109032
LEE'S SUMMIT, MO
Past
December 10, 2003 - February 23, 2004
CETERA ADVISORS LLC
BD
CRD#: 10299
GREENWOOD VILLAGE, CO
Past
May 15, 2002 - December 11, 2003
VERAVEST INVESTMENTS, INC.
BD
CRD#: 3960
WORCESTER, MA
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
CF
CREATIVE FINANCIAL DESIGNS, INC.
CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
RIA
Registered Investment Advisory firm - (4/19/2001 Approved)California
Registered Investment Advisory firm - (4/20/2001 Terminated)Florida
Registered Investment Advisory firm - (4/19/2001 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Iowa
Registered Investment Advisory firm - (5/20/2002 Terminated)Kentucky
Registered Investment Advisory firm - (4/19/2001 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2002 Terminated)Michigan
Registered Investment Advisory firm - (12/11/2001 Terminated)Missouri
Registered Investment Advisory firm - (4/19/2001 Terminated)New Jersey
Registered Investment Advisory firm - (4/19/2001 Terminated)North Carolina
Registered Investment Advisory firm - (12/19/2006 Terminated)Ohio
Registered Investment Advisory firm - (4/19/2001 Terminated)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
Arizona(10/2/2019)
RR
California(11/28/2007)
RR
Colorado(1/5/2010)
RR
Florida(10/30/2013)
RR
Georgia(7/8/2020)
RR
Hawaii(11/11/2022)
RR
Illinois(11/25/2013)
RR
Indiana(6/17/2009)
RR
Iowa(7/27/2018)
RR
Kansas(10/23/2007)
IAR
Kansas(10/23/2007)
RR
Michigan(11/13/2023)
RR
Missouri(10/23/2007)
IAR
Missouri(10/23/2007)
RR
Nebraska(5/2/2012)
RR
New Hampshire(1/6/2025)
RR
North Carolina(10/4/2021)
RR
Oklahoma(1/4/2022)
RR
Oregon(3/27/2018)
RR
Puerto Rico(9/11/2024)
RR
Tennessee(2/9/2018)
RR
Texas(6/12/2008)
RR
Utah(8/29/2014)
RR
Virginia(6/27/2018)
RR
Washington(4/30/2025)
Exams
State Security Law Exam
General Industry/Product Exam
General Industry/Product Exam
SRO Registrations
RR
FINRA
Current Firm
CF
CREATIVE FINANCIAL DESIGNS, INC.
CFD INVESTMENTS, INC. | CREATIVE FINANCIAL DESIGNS, INC.
CRD#: 109032 / SEC#: 801-60153
RIA
Registered Investment Advisory firm - (4/19/2001 Approved)California
Registered Investment Advisory firm - (4/20/2001 Terminated)Florida
Registered Investment Advisory firm - (4/19/2001 Terminated)Indiana
Registered Investment Advisory firm - (12/9/2002 Terminated)Iowa
Registered Investment Advisory firm - (5/20/2002 Terminated)Kentucky
Registered Investment Advisory firm - (4/19/2001 Terminated)Maryland
Registered Investment Advisory firm - (5/20/2002 Terminated)Michigan
Registered Investment Advisory firm - (12/11/2001 Terminated)Missouri
Registered Investment Advisory firm - (4/19/2001 Terminated)New Jersey
Registered Investment Advisory firm - (4/19/2001 Terminated)North Carolina
Registered Investment Advisory firm - (12/19/2006 Terminated)Ohio
Registered Investment Advisory firm - (4/19/2001 Terminated)Upgrade to AdvisorCheck Premium
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Contact information
Main Address
2704 S Goyer Rd, Kokomo, IN 46902
Mailing Address
P.o. Box # 2244, Kokomo, IN 46904-2244
Phone number
(765) 453-9600
Established
Firm type
Fiscal year end
# of Employees
150
SEC notice filing (51 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 14,029 |
| AUM (Assets Under Management) | $ 2,478,773,967 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/22/2024 | ||
| 01/05/2024 | ||
| 01/10/2023 |
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.
