Ricardo A. Frias

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CRD#: 6893916

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 Alberto Frias was a registered financial professional .

Ricardo is a previously registered financial professional and started their career in finance in 2018. Ricardo had worked at 1 firm .

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

January 9, 2018 - September 24, 2018

LEVELX CAPITAL LLC

CRD#: 117028

BROOKLYN, NY

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

Current Firm

LEVELX CAPITAL LLC

GENTEM CAPITAL LLC | LEVELX CAPITAL LLC | GLOBAL STRATEGIC INVESTMENTS, LLC

CRD#: 117028 / SEC#: , 8-53580

Terminated by SEC on 06/21/2023

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Contact information

Main Address

Mailing Address

Phone number

Established

Florida since 05/17/2001

Firm type

Limited Liability Company

Fiscal year end

December

Firm Size

Small

# of Employees

Documents

Direct owners and executive officers

Name	Position	CRD#
SSA TECHNOLOGIES LLC	LIMITED LIABILITY COMPANY
APEX CLEARING CORPORATION	OWNER	13071
CROCKETT, RICHARD HUNT	CHIEF COMPLIANCE OFFICER	1209667
INFANTE, CHRISTOPHER DANIEL	CHIEF EXECUTIVE OFFICER, SROP & CROP	5186765
VELASCO STAUDY, PUBLIO FEDERICO	FINOP	5377174

Disclosures

Regulatory Event	6
Criminal	1

Red Flags

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