Christopher Raymond Rick

Current Employers

Employment History

• 10/2011 → 09/2018
  Fidelity Investments
  Palm Desert, CA
• 07/2018 → 10/2018
  Fidelity Personal And Workplace
  Boston, MA
• 09/2018 → 06/2021
  Cypress Wealth Services, Llc
  Palm Desert, CA
• 07/2019 → 03/2021
  Purshe Kaplan Sterling Investments
  Albany, NY
• 06/2021 → Present
  Keystone Wealth Services Dba Keystone Private Wealth
  Palm Desert, CA
• 06/2021 → Present
  Purshe Kaplan Sterling Investments
  Albany, NY
• 11/2011 → 07/2018
  Strategic Advisors Llc
  Palm Desert, CA

Previous Registrations

• 2018-09-19 → 2021-06-04
  Cypress Wealth Services, Llc
  Palm Desert, CA
• 2018-07-13 → 2018-10-09
  Fidelity Personal And Workplace Advisors
  Boston, MA
• 2011-11-03 → 2018-07-13
  Strategic Advisers Llc
  Palm Desert, CA
• 2010-11-02 → 2011-09-02
  Morgan Stanley
  Indian Wells, CA

Other Businesses

1) Keystone Wealth Services DBA Keystone Private Wealth; Investment Related. 73575 El Paseo 2300, Palm Desert CA 92260; RIA; Title - Executive Vice President & Sr Financial Advisor. Start 06/2021. 140 hours per month, 120 Per Mth During Trading. Financial Advisor, Investment Mgmt., Financial Planning. 2) PKS Financial; Investment Related; 80 State Street, Albany, NY 12207; Fixed/Traditional Insurance; Title - Agent; Start - 06/2021; 4 Hrs/Mth; 4 Hrs During Securities Trading Hrs; Sales of Fixed/Traditional Products 3) Caress Insurance Agency Inc; Non-Investment Related; 79461 Bermuda Dunes Dr., Bermuda Dunes, CA 92203; Medicare Insurance Supplemental Plans; Title -- Independent Insurance Professional; Start - 8/2021; 2 Hrs/Mth; 0 During Securities Trading Hrs; Provide Options For Supplemental Medicare Insurance Coverage 3) Fixed Insurance; Investment Related; 73575 El Paseo, Ste 2300 Palm Desert, CA 92260; Fixed/Traditional Insurance; Title - Agent; Start - 06/2021; 4 Hrs/Mth; 4 Hrs During Securities Trading; Sales of Fixed/Traditional Products 4) Core Income; Investment Related; 5940 Golden Hills Dr. Minneapolis, MN 55416; Insurance; Insurance Partner; 07/01/2021; 1 hr/mth; 1 hr during trading; Core Income helps find insurance solutions for clients. They shop the market to provide solutions to simple and complex insurance needs for our clients. 5) HOA Invest; Investment Related; 1717 S. 450 W Logan Utah 84321; Financial Advisor; 10/2023; 40 hrs/mo; 2 hrs during non-trading; This will be an RIA registered with the SEC, asset management for a fee. We will work with HOAs to manage reserve accounts.. I will be an investment Advisor, dully registered, with Keystone Private Wealth and HOA Invest. I will manage investments for home owner and various property associations.

Exams

• S66 Uniform Combined State Law Examination
  2010-11-01

Designations