Ricardo Beltran
Professional summary
Ricardo Beltran JR., who also goes by Ricardo Beltran Jr, Ricardo Beltran, Ricardo Beltran Jr, is a registered financial professional currently at NATIONAL FINANCIAL SERVICES LLC located in Westlake, Texas.
Ricardo is registered as a RR (Registered Representative) and started their career in finance in 2007. Ricardo has worked at 3 firms and has passed the Series 63, Series 99TO, SIE, Series 7, Series 6, Series 10 and Series 9 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ricardo Beltran JR.'s CRS (Customer Relationship Summary).
Certified licenses
Experience
September 29, 2022 - Present
NATIONAL FINANCIAL SERVICES LLC
Office #1: Two Destiny Way, Westlake, TX 76262July 29, 2013 - July 7, 2022
FIDELITY BROKERAGE SERVICES LLC
November 14, 2012 - July 2, 2013
NATIONAL FINANCIAL SERVICES LLC
October 31, 2011 - July 23, 2012
FIDELITY BROKERAGE SERVICES LLC
December 11, 2008 - December 20, 2011
FIDELITY DISTRIBUTORS COMPANY LLC
December 14, 2007 - December 31, 2007
FIDELITY DISTRIBUTORS COMPANY 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
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationFINRA
Current Firm
NATIONAL FINANCIAL SERVICES LLC
CRD#: 13041 / SEC#: 801-50706, 8-26740
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | SOLE MEMBER | |
| ADAMS, ROBERT JOHN | CHIEF OPERATIONS OFFICER/ELECTED MANAGER | 1291582 |
| CRUPI, KAREN MICHELE | CHIEF LEGAL OFFICER | 2982229 |
| DEPOALO, RONALD EDWARD | PRESIDENT | 5995085 |
| DYER, JANET MARIE | CHIEF COMPLIANCE OFFICER | 3186352 |
| RHODES, NOAH BUTLER | CHIEF FINANCIAL OFFICER | 6546392 |
| TESAURO, THOMAS JOHN | ELECTED MANAGER | 1862532 |
Disclosures
| Regulatory Event | 47 |
| Civil Event | 1 |
| Arbitration | 14 |
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.
