Ruth Chicca

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CRD#: 6478838

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.

Ruth Chicca, who also goes by Ruth Caldrello, Ruth Stein, was a registered financial professional .

Ruth is a previously registered financial professional and started their career in finance in 2017. Ruth had worked at 7 firms and has passed the Series 66, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

Ruth Caldrello | Ruth Stein

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

December 19, 2025 - March 25, 2026

APRICITY FINANCIAL, LLC

RIA

CRD#: 10409

EAST PROVIDENCE, RI

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".

APRICITY FINANCIAL, LLC

CRD#: 330201 / SEC#: 801-134856

RIA

Registered Investment Advisory firm - (12/2/2025 Approved)

California

Registered Investment Advisory firm - (1/8/2026 Terminated)

Connecticut

Registered Investment Advisory firm - (12/11/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (12/9/2025 Terminated)

Mississippi

Registered Investment Advisory firm - (12/9/2025 Terminated)

New York

Registered Investment Advisory firm - (12/9/2025 Terminated)

North Carolina

Registered Investment Advisory firm - (12/10/2025 Terminated)

Texas

Registered Investment Advisory firm - (12/9/2025 Terminated)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 66

Date: 11/30/2017

Uniform Combined State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 10/26/2017

General Securities Representative Examination

Current Firm

APRICITY FINANCIAL, LLC

CRD#: 330201 / SEC#: 801-134856

RIA

Registered Investment Advisory firm - (12/2/2025 Approved)

California

Registered Investment Advisory firm - (1/8/2026 Terminated)

Connecticut

Registered Investment Advisory firm - (12/11/2025 Terminated)

Louisiana

Registered Investment Advisory firm - (12/9/2025 Terminated)

Mississippi

Registered Investment Advisory firm - (12/9/2025 Terminated)

New York

Registered Investment Advisory firm - (12/9/2025 Terminated)

North Carolina

Registered Investment Advisory firm - (12/10/2025 Terminated)

Texas

Registered Investment Advisory firm - (12/9/2025 Terminated)

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Contact information

Main Address

Mystic, CT

Mailing Address

Phone number

(855) 449-7100

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (8 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Regulatory assets under management

Total Number of Accounts	179
AUM (Assets Under Management)	$ 108,809,983

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.

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Advisor Monitoring

Firm Stability Insights

Ruth Chicca

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

APRICITY FINANCIAL, LLC

KESTRA ADVISORY SERVICES, LLC

KESTRA INVESTMENT SERVICES, LLC

LINCOLN INVESTMENT

LINCOLN INVESTMENT

LPL FINANCIAL LLC

LPL FINANCIAL LLC

SANTANDER SECURITIES LLC

SANTANDER SECURITIES LLC

MML INVESTORS SERVICES, LLC

MML INVESTORS SERVICES, LLC

Primary Firm SEC Registration

APRICITY FINANCIAL, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 11/30/2017

SIE

Date: 10/1/2018

Series 7

Date: 10/26/2017

Current Firm

APRICITY FINANCIAL, LLC

Contact information

SEC notice filing (8 States and Territories)

Documents

Regulatory assets under management

Red Flags

Company Information

APRICITY FINANCIAL, LLC

TRUST BUT VERIFY

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