Evan B. Ricker
Professional summary
Evan Benedict Ricker is a registered financial professional currently at SHIELDS & COMPANY, INC. located in Waltham, Massachusetts.
Evan is registered as a RR (Registered Representative) and started their career in finance in 2012. Evan has worked at 1 firm and has passed the Series 63, Series 99TO, SIE, Series 79, Series 24 and Series 28 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Evan Benedict Ricker's CRS (Customer Relationship Summary).
Certified licenses
Experience
June 25, 2012 - Present
SHIELDS & COMPANY, INC.
Office #1: 800 South Street Suite 310, Waltham, MA 02453Office #2: 800 South Street Suite 310, Waltham, MA 02453State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(7/26/2012)
(5/17/2019)
Exams
Series 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 28
Date: 7/17/2018
Introducing Broker/Dealer Financial Operations Principal ExaminationFINRA
Current Firm
SHIELDS & COMPANY, INC.
CRD#: 30000 / SEC#: , 8-44663
Contact information
FINRA licenses (2 States and Territories)
Disclosures
| Regulatory Event | 1 |
Red Flags
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Company Information
SHIELDS & COMPANY, INC.
CRD#: 30000Waltham, MA 02453TRUST BUT VERIFY
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