Ricardo A. Maikoo
Professional summary
Ricardo Anthony Maikoo, who also goes by Maikoo A Ricardo, is a registered financial professional currently at TRUIST SECURITIES, INC. located in Charlotte, North Carolina.
Ricardo is registered as a RR (Registered Representative) and started their career in finance in 2024. Ricardo has worked at 1 firm and has passed the Series 63, Series 7TO and SIE exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary) - BD
Click below to view Ricardo Anthony Maikoo's CRS (Customer Relationship Summary).
Certified licenses
Experience
September 30, 2024 - Present
TRUIST SECURITIES, INC.
Office #1: 214 N Tryon St Fl 14 15, 19, Charlotte, NC, 28202State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
(10/28/2024)
Exams
Series 7TO
Date: 9/30/2024
General Securities Representative ExaminationFINRA
Nasdaq Stock Market
Current Firm
TRUIST SECURITIES, INC.
CRD#: 6271 / SEC#: , 8-17212
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| TRUIST FINANCIAL CORPORATION | PARENT COMPANY | |
| COLEMAN, SHELLEY BRENNAN | AML OFFICER | 3163295 |
| FARRELL, KATHLEEN ANNE | BOARD MEMBER | 4038178 |
| HACKETT, THOMAS PATRICK | CHAIRMAN OF THE BOARD & CHIEF EXECUTIVE OFFICER | 2878035 |
| HUFFSTETLER, MARK | BOARD MEMBER AND CHIEF CREDIT OFFICER | 2830214 |
| HUMPHREYS, ADAM | SECRETARY AND CHIEF LEGAL OFFICER | 7866934 |
| JESSANI, KERRY | BOARD MEMBER | 5048754 |
| MILLIGAN, JOHN | PRINCIPAL OPERATIONS OFFICER | 3206391 |
| MORRIS, DONALD ROSS JR | CHIEF FINANCIAL OFFICER | 3231801 |
| PAPPAS, ALBERT GEORGE | CHIEF COMPLIANCE OFFICER | 1875535 |
Disclosures
| Regulatory Event | 22 |
| Arbitration | 1 |
Red Flags
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