Santos W. Ricardo
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.
Santos Walter Ricardo, who also goes by Walter S. Ricardo, was a registered financial professional .
Santos is a previously registered financial professional and started their career in finance in 1978. Santos had worked at 12 firms and has passed the Series 63, SIE, Series 3 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 17, 2015 - November 7, 2016
GUZMAN & COMPANY
August 11, 2015 - November 17, 2015
AEGIS CAPITAL CORP.
May 17, 2010 - October 31, 2014
NOMURA SECURITIES INTERNATIONAL, INC.
July 15, 2009 - February 4, 2010
NEWBRIDGE SECURITIES CORPORATION
November 10, 2004 - March 23, 2009
STANFORD GROUP COMPANY
November 10, 2004 - March 23, 2009
STANFORD GROUP COMPANY
September 15, 2003 - November 22, 2004
LEHMAN BROTHERS INC.
January 7, 1998 - November 22, 2004
LEHMAN BROTHERS INC.
May 31, 1994 - November 18, 1997
PRUDENTIAL EQUITY GROUP, LLC
April 4, 1989 - May 31, 1994
CITIGROUP GLOBAL MARKETS INC.
February 28, 1984 - January 17, 1989
MORGAN STANLEY DW INC.
October 6, 1981 - February 19, 1986
E. F. HUTTON & COMPANY INC
January 31, 1980 - October 6, 1981
UBS FINANCIAL SERVICES INC.
December 1, 1978 - January 31, 1980
BLYTH EASTMAN DILLON & CO. INCORPORATED
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
GUZMAN & COMPANY
CRD#: 21013 / SEC#: , 8-38646
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 5 |
Red Flags
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