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MR

Maria Josefina Del Carmen L. Ricerra

Some features on this profile are disabled
CRD#: 6389635
MR

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.

Maria Josefina Del Carmen Lagman Ricerra, who also goes by Allegra Moya, Maria Josefina Moya, Allegra Ricerra, Maria Ricerra, Maria Josefina Ricerra, Finita Ricerra, Josefina Ricerra, Joy Ricerra, Maria Josefina Lagman Ricerra, Maria Josefina Del Carmen Lagman Ricerra, Maria Vosekina Del Carmen Gagmin Ricerra, Allegra Ricerra-moya, Maria Josefina Del Carmen Ricerra-moya, was a registered financial professional .

Maria Josefina Del Carmen is a previously registered financial professional and started their career in finance in 2014. Maria Josefina Del Carmen had worked at 2 firms and has passed the Series 63, Series 6TO, SIE and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Allegra Moya | Maria Josefina Moya | Allegra Ricerra | Maria Ricerra | Maria Josefina Ricerra | Finita Ricerra | Josefina Ricerra | Joy Ricerra | Maria Josefina Lagman Ricerra | Maria Josefina Del Carmen Lagman Ricerra | Maria Vosekina Del Carmen Gagmin Ricerra | Allegra Ricerra-Moya | Maria Josefina Del Carmen Ricerra-Moya

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

February 1, 2024 - August 27, 2024

ALLIANCE-ONE INVESTMENTS, LLC

BD
CRD#: 286025
TULSA, OK
Past

October 9, 2014 - October 6, 2015

WELLS FARGO CLEARING SERVICES, LLC

BD
CRD#: 19616
MANDALUYONG CITY,

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 10/22/2014
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 6TO
Date: 12/20/2023
Investment Company Products/Variable Contracts Representative Examination
General Industry/Product Exam
RR
SIE
Date: 11/23/2023
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 7
Date: 10/9/2014
General Securities Representative Examination

Current Firm

AI
ALLIANCE-ONE INVESTMENTS, LLC
ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025 / SEC#: , 8-69868

BD
Broker-Dealer Firm Regulated by FINRA (New Orleans district office)
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Contact information

Main Address
4000 N Mingo Rd, Tulsa, OK 74116
Mailing Address
4000 N Mingo Rd, Tulsa, OK 74116
Phone number
(918) 281-1820
Established
Delaware since 10/20/2016
Firm type
Limited Liability Company
Fiscal year end
March
Firm Size
Medium
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
ALLIANCE-ONE HOLDINGS, LLCSOLE MEMBER
ARBO, WILLIAM CHARLESCEO/CHIEF FINANCIAL OFFICER1773016
TOOMEY, JAY ALANCHIEF COMPLIANCE OFFICER2514959

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.

Company Information

ALLIANCE-ONE INVESTMENTS, LLC

CRD#: 286025

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