Ricardo Juarez
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.
Ricardo Juarez, who also goes by Rick Juarez, Ricky Juarez, was a registered financial professional .
Ricardo is a previously registered financial professional and started their career in finance in 2018. Ricardo had worked at 3 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
February 10, 2021 - February 6, 2023
WESCOM FINANCIAL SERVICES
February 7, 2019 - August 4, 2020
WELLS FARGO CLEARING SERVICES, LLC
May 21, 2018 - January 3, 2019
U.S. BANCORP ADVISORS, 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
WESCOM FINANCIAL SERVICES
CRD#: 125650 / SEC#: 801-113359, 8-66189
Contact information
FINRA licenses (1 States and Territories)
Documents
Regulatory assets under management
| Total Number of Accounts | 1,138 |
| AUM (Assets Under Management) | $ 226,085,019 |
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.
