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RONALD JEFFREY RICK
RON RICK, RONALD J RICK
CRD#: 1510221
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 2821 PINEVILLE MATTHEWS RD
CHARLOTTE, NC 28270
Registration History
19901995200020052010201520202025IAWELLS FARGO ADVISORS (CRD# 19616)2007 - Present (17 years)BWELLS FARGO CLEARING SERVICES, LLC (CRD# 19616)2000 - Present (24 years)BFIRST UNION BROKERAGE SERVICES... (CRD# 8112)1987 - 2000 (13 years)BMARION BASS SECURITIES CORPORATION (CRD# 7961)1986 - 1987 (<1 year)BFIRST JERSEY SECURITIES, INC. (CRD# 6621)1986 - 1986 (<1 year)
License(s)

State Registrations

B
California 4/23/2012

B
North Carolina 10/1/2000

B
Florida 10/1/2000

IA
North Carolina 11/5/2007

B
Georgia 10/1/2000

B
Oregon 1/14/2009

B
Illinois 8/29/2011

B
Pennsylvania 10/1/2000

B
Kentucky 6/15/2017

B
South Carolina 10/1/2000

B
Louisiana 10/11/2018

B
Tennessee 10/1/2000

B
Maryland 10/1/2000

B
Virginia 2/27/2015

B
Massachusetts 6/27/2024

SRO Registrations

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

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Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
2821 PINEVILLE MATTHEWS RD, CHARLOTTE, NC 28270
Registered with this firm since 11/5/2007

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
2821 PINEVILLE MATTHEWS RD, CHARLOTTE, NC 28270
Registered with this firm since 10/1/2000

Previous Registration(s)
th hidden textth hidden textNameLocation
B
04/02/1987 - 10/01/2000 FIRST UNION BROKERAGE SERVICES, INC. (CRD#:8112) CHARLOTTE, NC
B
10/14/1986 - 03/13/1987 MARION BASS SECURITIES CORPORATION (CRD#:7961)
B
06/25/1986 - 08/01/1986 FIRST JERSEY SECURITIES, INC. (CRD#:6621)
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B
Broker
IA
Investment Adviser
Disclosures
Disclosures can be customer complaints or arbitrations, regulatory actions, employment terminations, bankruptcy filings and certain civil or criminal proceedings that they were a part of.