Ryan M. Ficks

SVB WEALTH

Menlo Park, CA 94025

Some features on this profile are disabled

CRD#: 5069793

Professional summary

Ryan Michael Ficks, who also goes by Ryan M Ficks, Ryan Ficks, is a registered financial advisor currently at SVB WEALTH located in Menlo Park, California and FIRST CITIZENS INVESTOR SERVICES, INC. located in Menlo Park, California.

Ryan is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 2006. Ryan has worked at 6 firms and has passed the Series 63, Series 65, Series 66 and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

Ryan M Ficks | Ryan Ficks

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.

Dually registered with affiliated firm SVB Wealth LLC. Investment Advisor; Provides investment advisory services to clients. Full time employee.

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Michael Ficks's CRS (Customer Relationship Summary).

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®

None

Experience

Current

March 4, 2022 - Present

SVB WEALTH

Office #1: 2770 Sand Hill Road, Menlo Park, CA 94025

RIA

CRD#: 172832

Menlo Park, CA

Current

May 29, 2025 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 2770 Sand Hill Rd, Menlo Park, CA 94025

RIA

CRD#: 44430

Menlo Park, CA

Current

January 10, 2024 - Present

FIRST CITIZENS INVESTOR SERVICES, INC.

Office #1: 2770 Sand Hill Rd, Menlo Park, CA 94025

RIA

CRD#: 44430

Menlo Park, CA

Past

July 2, 2020 - December 31, 2023

SVB INVESTMENT SERVICES INC.

CRD#: 168116

Menlo Park, CA

Past

August 22, 2017 - July 29, 2022

SVB INVESTMENT SERVICES INC.

RIA

CRD#: 168116

Menlo Park, CA

Past

July 21, 2010 - August 10, 2012

WADDELL & REED

RIA

CRD#: 866

SCOTTSDALE, AZ

Past

December 15, 2009 - August 10, 2012

WADDELL & REED

CRD#: 866

SCOTTSDALE, AZ

Past

April 10, 2008 - November 11, 2009

EQUITABLE ADVISORS, LLC

RIA

CRD#: 6627

SCOTTSDALE, AZ

Past

October 1, 2007 - November 11, 2009

EQUITABLE ADVISORS, LLC

CRD#: 6627

SCOTTSDALE, AZ

Past

January 27, 2006 - April 9, 2007

WELLS FARGO INVESTMENTS, LLC

RIA

CRD#: 10582

LOS ANGELES, CA

Past

January 19, 2006 - April 9, 2007

WELLS FARGO INVESTMENTS, LLC

CRD#: 10582

LOS ANGELES, CA

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".

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

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.

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

IAR

Arizona
(7/29/2024)

IAR

California
(3/4/2022)

California
(1/10/2024)

IAR

Texas
(5/23/2024)

IAR

Washington
(5/22/2024)

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

Series 63

Date: 1/22/2020

Uniform Securities Agent State Law Examination

State Security Law Exam

IAR

Series 65

Date: 8/21/2017

Uniform Investment Adviser Law Examination

State Security Law Exam

IAR

Series 66

Date: 1/26/2006

Uniform Combined State Law Examination

General Industry/Product Exam

Series 7

Date: 1/18/2006

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

SVB WEALTH

CRD#: 172832 / SEC#: 801-80480

RIA

Registered Investment Advisory firm - (10/2/2014 Approved)

Upgrade to AdvisorCheck Premium

Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.

Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.

See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.

Contact information

Main Address

53 State Street 28th Floor, Boston, MA 02109

Mailing Address

Po Box 27131, Raleigh, NC 27611

Phone number

(617) 223-0200

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

SVB WEALTH LLC (3/30/2025)

SVB WEALTH LLC APPENDIX 1/ WRAP BROCHURE (3/30/2025)

Regulatory assets under management

Total Number of Accounts	3,739
AUM (Assets Under Management)	$ 4,983,411,995

Accountant surprise examination report

Filing Date	Form ADV-E Cover	Form ADV-E Report
02/21/2025	Cover Page	Report
09/20/2024	Cover Page	Report
10/31/2022	Cover Page	Report

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.

Similar Advisors

Ashkahn Moayedi

WELLS FARGO CLEARING SERVICES, LLC

IAR

DANVILLE, CA

Ronald Guay

FALCON WEALTH PLANNING, INC.

IAR

San Jose, CA

Adam Green

J.P. MORGAN SECURITIES LLC

IAR

SAN MATEO, CA

We're Here To Help

Advisor Monitoring

Firm Stability Insights

Ryan M. Ficks

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ryan Michael Ficks's CRS (Customer Relationship Summary).

Certified licenses

Experience

FIRST CITIZENS INVESTOR SERVICES, INC.

FIRST CITIZENS INVESTOR SERVICES, INC.

SVB INVESTMENT SERVICES INC.

SVB INVESTMENT SERVICES INC.

WADDELL & REED

WADDELL & REED

EQUITABLE ADVISORS, LLC

EQUITABLE ADVISORS, LLC

WELLS FARGO INVESTMENTS, LLC

WELLS FARGO INVESTMENTS, LLC

Primary Firm SEC Registration

SVB WEALTH

State Registrations and Notice Filings

Exams

Series 63

Date: 1/22/2020

Series 65

Date: 8/21/2017

Series 66

Date: 1/26/2006

Series 7

Date: 1/18/2006

FINRA

Current Firm

SVB WEALTH

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Accountant surprise examination report

Red Flags

Company Information

SVB WEALTH

TRUST BUT VERIFY

Similar Advisors