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Rick Allen Fine

Charles Schwab & Co., Inc.

Little Rock, AR

Phoenix, AZ

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Current Employers
Charles Schwab & Co., Inc.

425 Market Street 17Th Floor, San Francisco, CA 94105 • United States

Current Registrations

AuthorityCategoryStatusDate
AR RA APPROVED 2011-01-13
  • AR RA
    APPROVED
    Since 2011-01-13

Branch Locations

650 S. Shackleford Road Suite 140, Little Rock, AR 72211-3560 • United States

2423 E Lincoln Dr, Phoenix, AZ 85016-1215 • 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
Charles Schwab & Co., Inc. Little Rock AR 01/2011 Present
Charles Schwab Bank Ssb Little Rcok AR 01/2011 Present
Previous Registrations
  • 2010-03-05 → 2011-01-12
    Morgan Stanley
    Fayetteville, AR
  • 2000-04-04 → 2004-08-06
    Morgan Stanley Dw Inc.
    Fayetteville, AR
Exams
CodeExamDate
S66 Uniform Combined State Law Examination 2010-03-04
S63 Uniform Securities Agent State Law Examination 1992-12-10
  • S66 Uniform Combined State Law Examination
    2010-03-04
  • S63 Uniform Securities Agent State Law Examination
    1992-12-10
Other Names
  • Ricky Allen Fine

View on SEC IAPD

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Other Offices

EDWARD JONES · LITTLE ROCK, AR
ARVEST WEALTH MANAGEMENT · LITTLE ROCK, AR
STATE FARM INVESTMENT MANAGEMENT CORP. · Little Rock, AR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · Little Rock, AR
RAYMOND JAMES & ASSOCIATES, INC. · LITTLE ROCK, AR
UNITED CAPITAL FINANCIAL ADVISORS · LITTLE ROCK, AR
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC · LITTLE ROCK, AR
NFSG CORPORATION · LITTLE ROCK, AR

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