Ricky W. Jackson
Some features on this profile are disabled
CRD#: 6457609
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.
Ricky W Jackson Jr, CFP®, who also goes by Ricky Washington Jackson Jr, Ricky Washington Jackson, was a registered financial professional .
Ricky is a previously registered financial professional and started their career in finance in 2015. Ricky had worked at 6 firms and has passed the Series 66, SIE and Series 7 exams.
Question & Answer
What are your service offerings?
Retirement Planning
Employee and Employer Plan Ben...
Comprehensive Financial Planni...
Education Planning
Budgeting
Investment Planning
Insurance Planning
Are you a "fiduciary"?
No
Aliases
Ricky Washington Jackson Jr | Ricky Washington Jackson
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.
1) NAME: RICKY JACKSON INV REL: Y ADDR: RESIDENTIAL ADDRESS NATURE: OUTSIDE INSURANCE SALES POSITION: BROKER START DATE: 08/25/2023 NO. HR/MO: 10 NO. HR/MO DURING SEC TRADING: 10 DUTIES: LIFE AND FIXED ANNUITIES. 2) NAME: RICKY JACKSON, JR. CFP, CHFC INV REL: Y ADD: RESIDENTIAL ADDRESS NATURE: READING ARTICLE PERTAINING TO INSURANCE AND INVESTMENTS. EDITING AND PROVIDING FEEDBACK FROM A PROFESSIONAL PERSPECTIVE POSITION: EXPERTS CONTRIBUTOR START DATE: 11/15/2023 NO. HR/MO: 5 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: CONTRIBUTE TO THE REVIEW PROCESS ON FINANCIAL AND RETIREMENT RELATED ARTICLE FOR ANNUITY.ORG 3) NAME: PURE ELIXIR LLC INV REL: N ADD: 4111 - E ROSE LAKE R, CHARLOTTE NC 28217 NATURE: ESSENTIAL OILS AND HEALTH SUPPLEMENTS POSITION: CO-OWNER START DATE: 11/01/2023 NO. HR/MO: 30 NO. HR/MO DURING SEC TRADING: 0 DESCRIBE DUTIES: MY WIFE IS THE OTHER OWNER OF THE COMPANY AND WILL RUN THE OPERATIONS AND THE DAY TO DAY OF THE ORGANIZATION. I AM HERE TO HELP ON THE BACK OFFICE SUPPORT IF SHE NEEDS HELP.
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®
CFP®
Start date: 2017
Experience
Past
October 31, 2022 - February 5, 2024
MML INVESTORS SERVICES, LLC
RIA
CRD#: 10409
CHARLOTTE, NC
Past
October 26, 2022 - February 5, 2024
MML INVESTORS SERVICES, LLC
BD
CRD#: 10409
CHARLOTTE, NC
Past
December 7, 2021 - September 26, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
RIA
CRD#: 2881
COLUMBIA, SC
Past
December 6, 2021 - September 26, 2022
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
BD
CRD#: 2881
COLUMBIA, SC
Past
February 20, 2019 - November 19, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
RIA
CRD#: 18387
Lexington, SC
Past
February 19, 2019 - November 19, 2021
THRIVENT INVESTMENT MANAGEMENT INC.
BD
CRD#: 18387
Lexington, SC
Past
April 26, 2016 - February 11, 2019
VANGUARD ADVISERS, INC.
RIA
CRD#: 106715
Charlotte, NC
Past
April 25, 2016 - February 11, 2019
VANGUARD MARKETING CORPORATION
BD
CRD#: 7452
CHARLOTTE, NC
Past
July 7, 2015 - April 11, 2016
EDWARD JONES
RIA
CRD#: 250
MONROE, NC
Past
April 21, 2015 - April 11, 2016
EDWARD JONES
BD
CRD#: 250
MONROE, NC
Primary Firm SEC Registration
This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".
MML INVESTORS SERVICES, LLC
CONCORDE FINANCIAL ADVISORS | THE ESTABLISHMENT BY MASSMUTUAL | THE ESTABLISHMENT BY BARNUM FINANCIAL GROUP | THE ESTABLISHMENT | MML PLAN SOLUTIONS | MML INVESTORS SERVICES, LLC | MML INVESTORS SERVICES, INC. | MML INVESTORS SERVICES | MASSMUTUAL FINANCIAL GROUP | IN GOOD COMPANY | HFG ADVISORS
CRD#: 10409 / SEC#: 801-44264, 8-27250
RIA
Registered Investment Advisory firm - SEC (7/13/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
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
General Industry/Product Exam
General Industry/Product Exam
Current Firm
MML INVESTORS SERVICES, LLC
CONCORDE FINANCIAL ADVISORS | THE ESTABLISHMENT BY MASSMUTUAL | THE ESTABLISHMENT BY BARNUM FINANCIAL GROUP | THE ESTABLISHMENT | MML PLAN SOLUTIONS | MML INVESTORS SERVICES, LLC | MML INVESTORS SERVICES, INC. | MML INVESTORS SERVICES | MASSMUTUAL FINANCIAL GROUP | IN GOOD COMPANY | HFG ADVISORS
CRD#: 10409 / SEC#: 801-44264, 8-27250
RIA
Registered Investment Advisory firm - SEC (7/13/1993 Approved)BD
Broker-Dealer Firm Regulated by FINRA (Boston district office)
Upgrade to AdvisorCheck Premium
Get A Biweekly Pulse, AutomaticallyReceive biweekly alerts automatically. Stay informed and proactive.
Catch Firm-Level Red Flags SoonerCatch leadership changes and disclosures early, before issues escalate.
See Trends. Not Just SnapshotsMonitor firm stability metrics like AUM and advisor ratios over time.
Contact information
Main Address
1295 State Street, Springfield, MA 01111-0001
Mailing Address
1295 State Street, Springfield, MA 01111-0001
Phone number
(413) 737-8400
Established
Massachusetts since 01/01/2011
Firm type
Limited Liability Company
Fiscal year end
December
Firm Size
Large
# of Employees
7,056
SEC notice filing (50 States and Territories)
FINRA licenses (53 States and Territories)
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MASSMUTUAL HOLDING LLC | MEMBER | |
| BAUER, THOMAS K | CHIEF TECHNOLOGY OFFICER | 4759472 |
| BOWMAN, VAUGHN CHARLES | CHIEF EXECUTIVE OFFICER, PRESIDENT AND CHAIRMAN OF THE BOARD | 4725044 |
| CRADDOCK, GEOFFREY | DIRECTOR | 1444771 |
| DUCH III, EDWARD KARL | CHIEF LEGAL OFFICER, SECRETARY AND VICE PRESIDENT | 4808341 |
| LAPIANA, PAUL ANTHONY | DIRECTOR | 2237245 |
| MALLEE, JOSEPH PATRICK III | DIRECTOR | 4231618 |
| MINK, DAVID MYERS | VICE PRESIDENT AND CHIEF OPERATIONS OFFICER | 2606831 |
| RANDALL, GEORGE ASHLEY IV | FIELD RISK OFFICER | 4881503 |
| REILLY, JENNIFER RHODES | DIRECTOR | 3243154 |
| RISPOLI, FRANK JOSEPH | CHIEF FINANCIAL OFFICER AND TREASURER | 4364402 |
| ROGERS REID, COURTNEY MCKENZIE | CHIEF COMPLIANCE OFFICER | 5374512 |
| VACCARO, JOHN ARTHUR | CHAIRMAN EMERITUS | 2264004 |
| WILKINSON, MARY BEA | VICE PRESIDENT | 2159909 |
Regulatory assets under management
| Total Number of Accounts | 392,820 |
| AUM (Assets Under Management) | $ 90,021,969,258 |
Disclosures
| Regulatory Event | 27 |
| Arbitration | 1 |
| Bond | 2 |
Accountant surprise examination report
| Filing Date | Form ADV-E Cover | Form ADV-E Report |
|---|---|---|
| 11/24/2025 | ||
| 10/28/2024 | ||
| 11/28/2023 | ||
| 12/19/2022 |
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.
