Cristin L. Ricks
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.
Cristin Lee Ricks, who also goes by Cristin Lee Mckoy, was a registered financial professional .
Cristin is a previously registered financial professional and started their career in finance in 2006. Cristin had worked at 3 firms and has passed the Series 66, 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
October 24, 2012 - December 31, 2015
GLOBAL BROKERAGE SERVICES, INC.
June 10, 2008 - January 6, 2011
WELLS FARGO INVESTMENTS, LLC
June 9, 2008 - January 6, 2011
WELLS FARGO INVESTMENTS, LLC
November 27, 2007 - October 27, 2008
CCR FINANCIAL PLANNING
June 27, 2006 - May 20, 2008
GLOBAL BROKERAGE SERVICES, INC.
Primary Firm SEC Registration
GLOBAL BROKERAGE SERVICES, INC.
CRD#: 37505 / SEC#: 801-131268, 8-47763
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
GLOBAL BROKERAGE SERVICES, INC.
CRD#: 37505 / SEC#: 801-131268, 8-47763
Contact information
SEC notice filing (11 States and Territories)
FINRA licenses (24 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 562 |
| AUM (Assets Under Management) | $ 137,300,000 |
Disclosures
| Regulatory Event | 1 |
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.
