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Richard Stephen Ricci

Wells Fargo Clearing Services, LLC

Bethesda, MD

College Park, MD

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Current Employers
Wells Fargo Clearing Services, Llc

One North Jefferson Avenue Mail Code: H0004-05E, St. Louis, MO 63103-2205 • United States

Current Registrations

AuthorityCategoryStatusDate
MD RA APPROVED 2021-09-30
DC RA APPROVED 2008-01-01
  • MD RA
    APPROVED
    Since 2021-09-30
  • DC RA
    APPROVED
    Since 2008-01-01

Branch Locations

7600 Wisconsin Ave Ste 900, Bethesda, MD 20814 • United States

College Park, MD • United States

Disclosures

No disclosure categories reported as “Yes” on this SEC record.

  • Regulatory action No
  • Criminal No
  • Bankruptcy No
  • Civil judicial No
  • Bond No
  • Judgment / lien No
  • Investigation No
  • Customer complaint No
  • Termination No
Employment History
OrganizationCityStateFromTo
Wells Fargo Advisors Llc Washington DC 05/2009 11/2016
Wells Fargo Clearing Services, Llc Washington DC 11/2016 Present
Previous Registrations
  • 1998-05-04 → 2008-01-01
    A. G. Edwards & Sons, Inc.
    Washington, DC
    Washington, DC
    St. Louis, MO
Other Businesses

RENTAL PROPERTY; INVESTMENT RELATED; COLLEGE PARK, MD; 100% OWNERSHIP; START DATE 6/1990; 1 HR PER MONTH; 0 HRS DURING TRADING.

Exams
CodeExamDate
S65 Uniform Investment Adviser Law Examination 1993-04-07
S63 Uniform Securities Agent State Law Examination 1993-03-29
  • S65 Uniform Investment Adviser Law Examination
    1993-04-07
  • S63 Uniform Securities Agent State Law Examination
    1993-03-29
Other Names
  • Richard S Ricci

View on SEC IAPD

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Other Offices

LGG FINANCIAL · BETHESDA, MD
BLUE SPARROW FUNDS GP LLC · BETHESDA, MD
KALAMATA ASSET MANAGEMENT LLC · BETHESDA, MD
GLASSY MOUNTAIN ADVISORS, INC. · BETHESDA, MD
NOORDZEE CAPITAL LLC · BETHESDA, MD
WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC · BETHESDA, MD
HIGHTOWER ADVISORS, LLC · BETHESDA, MD
GOLDEN WEALTH STRATEGIES · Bethesda, MD

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