Rick L. Wiggs
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 Lee Wiggs, who also goes by Rick Wiggs, Rickie Lee Wiggs, was a registered financial professional .
Rick is a previously registered financial professional and started their career in finance in 2006. Rick had worked at 5 firms and has passed the Series 65, Series 63 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
August 28, 2012 - July 9, 2013
AMERICAN EQUITY INVESTMENT CORPORATION
January 4, 2012 - July 9, 2013
AMERICAN CAPITAL MANAGEMENT, INC.
June 29, 2009 - January 20, 2010
BB&T INVESTMENT SERVICES, INC.
February 16, 2009 - January 20, 2010
BB&T INVESTMENT SERVICES, INC.
April 3, 2007 - September 4, 2007
WOODBURY FINANCIAL SERVICES, INC.
July 26, 2006 - October 18, 2006
EDWARD JONES
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
AMERICAN EQUITY INVESTMENT CORPORATION
CRD#: 40199 / SEC#: , 8-49078
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PEOPLES, TIMOTHY ERIC | PRESIDENT / CHIEF COMPLIANCE OFFICER | 1026456 |
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.
