Ricardo I. Guerrero
Professional summary
Ricardo Ivan Guerrero is a registered financial professional currently at SENTRY EQUITY SERVICES, INC. located in Stevens Point, Wisconsin.
Ricardo is registered as a RR (Registered Representative) and started their career in finance in 2007. Ricardo has worked at 8 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ricardo Ivan Guerrero's CRS (Customer Relationship Summary).
Certified licenses
Experience
January 11, 2022 - Present
SENTRY EQUITY SERVICES, INC.
Office #1: 1800 North Point Drive, Stevens Point, WI 54481August 14, 2019 - January 3, 2022
TRANSAMERICA RETIREMENT ADVISORS, LLC
June 13, 2019 - January 3, 2022
TRANSAMERICA INVESTORS SECURITIES, LLC
July 14, 2015 - September 5, 2018
MML DISTRIBUTORS, LLC
October 1, 2012 - June 12, 2015
J.P. MORGAN SECURITIES LLC
November 3, 2010 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
April 19, 2010 - June 4, 2010
USAA FINANCIAL ADVISORS, INC.
September 3, 2007 - March 17, 2010
NYLIFE SECURITIES LLC
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(1/11/2022)
Exams
FINRA
Current Firm
SENTRY EQUITY SERVICES, INC.
CRD#: 5069 / SEC#: , 8-15078
Contact information
FINRA licenses (49 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 2 |
Red Flags
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