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RICHARD JAMES RIOS
RICHARD J RIOS, RICK RIOS
CRD#: 2270331
IA
Investment Adviser
B
Broker
WELLS FARGO ADVISORSCRD#: 19616 1701 RICKENBACKER DR
STE 101
SUN CITY CENTER, FL 33573
Registration History
19952000200520102015202020252 FIRMS1999 - 2008 (8 years)2 FIRMS2008 - 2009 (1 year)2 FIRMS2009 - 2012 (2 years)2 FIRMS2012 - 2019 (7 years)2 FIRMS2019 - Present (5 years)BFIRST UNION CAPITAL MARKETS CORP. (CRD# 6124)1998 - 1999 (<1 year)BMERRILL LYNCH, PIERCE, FENNER ... (CRD# 7691)1992 - 1998 (6 years)
Disclosure(s)
View By:
12/23/2009
Customer Dispute
Denied
7/12/2005
Customer Dispute
Denied
License(s)

State Registrations

B
Arizona 10/4/2019

B
Georgia 10/4/2019

B
California 10/4/2019

B
Michigan 10/4/2019

B
Colorado 10/4/2019

B
New York 10/4/2019

B
Connecticut 10/4/2019

B
Tennessee 5/24/2024

B
Florida 10/4/2019

B
Virginia 10/4/2019

IA
Florida 10/7/2019

SRO Registrations

B
Cboe BZX Exchange, Inc.

B
Cboe Exchange, Inc.

B
FINRA

B
NYSE American LLC

B
NYSE Arca, Inc.

B
NYSE Chicago, Inc.

B
Nasdaq GEMX, LLC

B
Nasdaq ISE, LLC

B
Nasdaq PHLX LLC

B
Nasdaq Stock Market

B
New York Stock Exchange

View Exams Passed by the individual in the detailed report

Learn about permitted activities of registered representatives

Learn about permitted activities of registered principals

Not all jurisdictions require IAR registration or may have an exemption from registration.
Current Registration(s)
IA
WELLS FARGO ADVISORS (CRD#:19616)
1701 RICKENBACKER DR STE 101, SUN CITY CENTER, FL 33573
VALRICO, FL
Registered with this firm since 10/7/2019

B
WELLS FARGO CLEARING SERVICES, LLC (CRD#:19616)
1701 RICKENBACKER DR STE 101, SUN CITY CENTER, FL 33573
VALRICO, FL
Registered with this firm since 10/4/2019

Previous Registration(s)
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IA
04/13/2012 - 10/16/2019 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SUN CITY CENTER, FL
B
04/13/2012 - 10/16/2019 AMERIPRISE FINANCIAL SERVICES, INC. (CRD#:6363) SUN CITY CENTER, FL
IA
06/01/2009 - 04/23/2012 MORGAN STANLEY SMITH BARNEY LLC (CRD#:149777) TAMPA, FL
B
06/01/2009 - 04/23/2012 MORGAN STANLEY SMITH BARNEY (CRD#:149777) TAMPA, FL
IA
03/24/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) TAMPA, FL
B
03/20/2008 - 06/01/2009 MORGAN STANLEY & CO. INCORPORATED (CRD#:8209) TAMPA, FL
IA
10/01/1999 - 03/27/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) SUN CITY CENTER, FL
B
10/01/1999 - 03/27/2008 WACHOVIA SECURITIES, LLC (CRD#:19616) SUN CITY CENTER, FL
B
11/04/1998 - 10/01/1999 FIRST UNION CAPITAL MARKETS CORP. (CRD#:6124) CHARLOTTE, NC
B
11/13/1992 - 11/05/1998 MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED (CRD#:7691) NEW YORK, NY
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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.