Richard Andrade
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.
Richard Andrade, who also goes by Rick Andrade, was a registered financial professional .
Richard is a previously registered financial professional and started their career in finance in 2010. Richard had worked at 5 firms and has passed the Series 63, 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
March 26, 2014 - August 8, 2024
JCC CAPITAL MARKETS, LLC
January 11, 2012 - December 4, 2012
FALLBROOK CAPITAL SECURITIES CORP.
August 1, 2011 - December 31, 2011
AARON CAPITAL INCORPORATED
January 7, 2011 - July 19, 2011
XNERGY FINANCIAL LLC
March 22, 2010 - October 20, 2010
MOSAIC CAPITAL 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
Exams
Current Firm
JCC CAPITAL MARKETS, LLC
CRD#: 146776 / SEC#: , 8-67850
Contact information
FINRA licenses (51 States and Territories)
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.
