Jeffrey Ricks
Jeffrey Ricks is a registered investment advisor at Commonwealth Financial Network, based in Austin, TX, with 44 years of industry experience. Their practice areas include Financial Planning & Coaching, Investment Management, Retirement Planning. Their firm serves 399,450 clients with $210B in assets under management.
Compensation
Firm Size
Number of Clients
Average Client Portfolio
Assets Under Management
Fee Structure
Commonwealth Financial Network offers investment management through various programs like PPS Custom, PPS Select, and PPS Direct. Fees are generally calculated as a percentage of your portfolio, including cash and money market positions. The exact fees vary depending on the specific program and the agreement between you and your advisor.
Commonwealth generally offers two types of fee schedules: blended and breakpoint. With a blended schedule, different portions of your portfolio are charged at different rates. With a breakpoint schedule, the fee rate declines as your portfolio value reaches certain levels. All fees are negotiable between the advisor and client.
Location
9442 Capital of Texas Highway North, Plaza 1, Suite 500, Austin, TX, 78759
Get directionsHistory
Regulatory History (2)
Financial
November 2017Customer Dispute
December 2001Other Business ActivitiesSells Insurance
Jeffrey sells fixed insurance under the DBA Evergreen Wealth Management, Inc. He also owns Evergreen Wealth Management, Inc., an entity created to process operating expenses of his securities business.
Employment History
Current Registrations
Commonwealth Financial Network
Commonwealth Financial Network
Commonwealth Financial NetworkBroker
Previous Registrations
Oppenheimer & CO. INC.
Oppenheimer & CO. INC.Broker
Stanford Group CompanyBroker
Stanford Group Company
Banc of America Investment Services, INC.Broker
Banc of America Investment Services, INC.
NationssecuritiesBroker
Nationsbanc Securities, INC.Broker
Prudential Securities IncorporatedBroker
The Prudential Insurance Company of AmericaBroker
Pruco Securities CorporationBroker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
Shearson Lehman Hutton INC.Broker
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
State Registrations2 states
You can work with an advisor not registered in your state. Most advisors can legally serve a small number of clients across state lines without registering.