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Detailed Report
TOMMY EDWARD RICKS
CRD#: 2262980
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Investment Adviser
ETEXFINANCIAL, INC.CRD#: 142696 MT. VERNON, TX
Registration History
1995200020052010201520202025IAETEXFINANCIAL, INC. (CRD# 142696)2007 - Present (17 years)IABRAZOS SECURITIES, INC. (CRD# 21624)2006 - 2012 (5 years)IAMML INVESTORS SERVICES, INC. (CRD# 10409)2005 - 2006 (1 year)IALINCOLN FINANCIAL ADVISORS COR... (CRD# 3978)2002 - 2005 (2 years)IAING FINANCIAL ADVISERS, LLC (CRD# 34815)1993 - 2002 (8 years)
License(s)

State Registrations

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Texas 4/9/2007
Current Registration(s)
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ETEXFINANCIAL, INC. (CRD#:142696)
MT. VERNON, TX
Registered with this firm since 4/9/2007
Previous Registration(s)
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 09/11/2006 - 05/25/2012 BRAZOS SECURITIES, INC. (CRD#:21624) DALLAS, TX
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 02/23/2005 - 09/12/2006 MML INVESTORS SERVICES, INC. (CRD#:10409) DALLAS, TX
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 07/12/2002 - 02/09/2005 LINCOLN FINANCIAL ADVISORS CORPORATION (CRD#:3978) DALLAS, TX
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 10/22/1993 - 06/12/2002 ING FINANCIAL ADVISERS, LLC (CRD#:34815) ADDISON, TX
For additional information about investment advisers or broker-dealers, please visit
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Broker
A brokerage firm, also called a broker-dealer, is in the business of buying and selling securities – stocks, bonds, mutual funds, and certain other investment products – on behalf of its customer (as broker), for its own bank (dealer), or both. Individuals who work for broker-dealers - the sales personnel are commonly referred to as brokers.
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Investment Adviser
An investment adviser is paid for providing advice about securities to clients. In addition, some investment advisers manage investment portfolios and offer financial planning services.
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.