Ricardo E. Urrutia
Professional summary
Ricardo Enrique Urrutia was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ricardo Enrique Urrutia, who also goes by Ricardo E Urrutia, Ricardo E Urrutia Prado, was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 2009. Ricardo had worked at 5 firms and has passed the Series 65, Series 63, SIE, Series 7 and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
July 7, 2017 - December 19, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
July 6, 2017 - December 19, 2019
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
August 3, 2015 - May 4, 2017
EQUITABLE ADVISORS, LLC
August 3, 2015 - May 4, 2017
EQUITABLE ADVISORS, LLC
April 24, 2014 - August 6, 2015
SANTANDER SECURITIES LLC
April 24, 2014 - August 6, 2015
SANTANDER SECURITIES LLC
October 1, 2012 - March 21, 2014
J.P. MORGAN SECURITIES LLC
October 1, 2012 - March 21, 2014
J.P. MORGAN SECURITIES LLC
May 6, 2011 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
November 5, 2009 - October 1, 2012
CHASE INVESTMENT SERVICES CORP.
Primary Firm SEC Registration
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
State Registrations and Notice Filings
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Exams
Current Firm
MUTUAL OF OMAHA INVESTOR SERVICES, INC.
CRD#: 611 / SEC#: 801-61332, 8-47290
Contact information
SEC notice filing (53 States and Territories)
FINRA licenses (53 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 116 |
| AUM (Assets Under Management) | $ 24,355,321 |
Disclosures
| Regulatory Event | 4 |
| Arbitration | 2 |
| Bond | 8 |
Red Flags
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