Ricky J. Saunders
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.
Ricky Joe Saunders, who also goes by Rick Saunders, Ricky J Saunders, was a registered financial professional .
Ricky is a previously registered financial professional and started their career in finance in 1979. Ricky had worked at 5 firms and has passed the Series 63, Series 7, Series 1 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 5, 1989 - November 1, 1989
AMERICAN CAPITAL EQUITIES, INC.
December 15, 1988 - June 3, 1989
CETERA WEALTH SERVICES, LLC
June 23, 1988 - December 20, 1988
AMERICAN TRUST SECURITIES CORPORATION
June 10, 1987 - June 9, 1988
TRUSTCORE INVESTMENTS LLC
May 16, 1979 - August 29, 1987
JACQUES-MILLER INVESTMENT COMPANY
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 1
Date: 5/7/1979
Registered Representative ExaminationCurrent Firm
AMERICAN CAPITAL EQUITIES, INC.
CRD#: 13272 / SEC#: , 8-29069
Contact information
Documents
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.
