Roy M. Ricketts
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.
Roy Michael Ricketts, who also goes by Mike R Ricketts, R Michael Ricketts, was a registered financial professional .
Roy is a previously registered financial professional and started their career in finance in 1977. Roy had worked at 7 firms and has passed the Series 65, Series 63, SIE, Series 3, Series 5, PC, Series 7 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 26, 2020 - December 4, 2025
RICKETTS FINANCIAL, LLC
February 13, 2013 - July 9, 2020
RAYMOND JAMES & ASSOCIATES, INC.
February 13, 2013 - July 9, 2020
RAYMOND JAMES & ASSOCIATES, INC.
March 26, 2004 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
May 6, 1993 - February 13, 2013
MORGAN KEEGAN & COMPANY, LLC
April 11, 1988 - April 29, 1993
UBS FINANCIAL SERVICES INC.
March 7, 1988 - March 30, 1988
LEHMAN BROTHERS INC.
January 30, 1981 - March 7, 1988
E. F. HUTTON & COMPANY INC
January 31, 1980 - December 12, 1983
UBS FINANCIAL SERVICES INC.
June 1, 1977 - January 31, 1980
PAINE, WEBBER, JACKSON & CURTIS INCORPORATED
Primary Firm SEC Registration
RICKETTS FINANCIAL, LLC
CRD#: 309381 / SEC#: 801-118963
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
Series 5
Date: 11/16/1981
Interest Rate Options ExaminationPC
Date: 2/2/1981
AMEX Put and Call ExamSeries 8
Date: 6/4/1986
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
RICKETTS FINANCIAL, LLC
CRD#: 309381 / SEC#: 801-118963
Contact information
SEC notice filing (4 States and Territories)
Regulatory assets under management
| Total Number of Accounts | 289 |
| AUM (Assets Under Management) | $ 290,536,499 |
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.
