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Jeffrey Ricks

Commonwealth Financial Network
44 Years of Experience
Austin, TX
2 DisclosuresBrokerSells Insurance
View SEC Summary
View SEC Summary

Jeffrey Ricks is a registered investment advisor at Commonwealth Financial Network, based in Austin, TX, with 44 years of industry experience. Jeffrey is also registered as a broker, so some compensation may come from commissions on products sold. Their practice areas include Alternative Investments, Annuities, Business Owners, Charitable Giving, and 10 more. Their firm serves 360,488 clients with $210B in assets under management.

Commonwealth Financial Network
Compensation
Commission-BasedFee-Only (% of Portfolio)Fixed/Hourly
Firm Size
2904 advisors
Number of Clients
360,488 clients
Average Client Portfolio
$590K average
Assets Under Management
$212.7B

Fee Structure

Minimum Investment:$25K
Planning is included in investment management (also available separately)
Minimum Annual Fee:$600
Portfolio-Based Fees (Tiered)
Portfolio ValueAnnual Fee
Up to $750K2.25%
$750K - $1.0M2.00%
$1.0M - $2.0M1.75%
$2M+1.50%

Fees are negotiable. Schedule represents maximum allowable annual management fees for PPS Custom programs. Other programs like PPS Select and PPS Direct have separate advisor and program fee schedules.

Fee Estimator
Your Portfolio Value
$500K
$0$500K$1M$5M$20M
Estimated Annual Fee
—
View Full SEC Brochure

Location

9442 Capital of Texas Highway North, Plaza 1, Suite 500, Austin, TX, 78759

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History

Regulatory History (2)
What are disclosures? Advisors must report customer complaints, regulatory actions, and certain legal or financial events to the SEC. Not all disclosures are serious—many are settled disputes or minor violations. Learn how to evaluate them.
Financial
November 2017
Final
Customer Dispute
December 2001
Denied
View Full SEC ReportHow to Read Disclosures
Other 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
July 2009 - Present · 17 yrs 3 mos
Commonwealth Financial Network
July 2009 - Present · 17 yrs 3 mos
Commonwealth Financial NetworkBroker
July 2009 - Present · 17 yrs 3 mos
Previous Registrations
Oppenheimer & CO. INC.
March 2009 - July 2009 · 4 mos
Oppenheimer & CO. INC.Broker
March 2009 - July 2009 · 4 mos
Stanford Group CompanyBroker
September 2008 - March 2009 · 6 mos
Stanford Group Company
September 2008 - March 2009 · 6 mos
Banc of America Investment Services, INC.Broker
January 1998 - October 2008 · 10 yrs 9 mos
Banc of America Investment Services, INC.
January 1998 - October 2008 · 10 yrs 9 mos
NationssecuritiesBroker
June 1993 - January 1998 · 4 yrs 7 mos
Nationsbanc Securities, INC.Broker
February 1993 - June 1993 · 4 mos
Prudential Securities IncorporatedBroker
April 1991 - February 1993 · 1 yr 10 mos
The Prudential Insurance Company of AmericaBroker
June 1990 - May 1991 · 11 mos
Pruco Securities CorporationBroker
June 1990 - May 1991 · 11 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
November 1988 - May 1990 · 1 yr 6 mos
Shearson Lehman Hutton INC.Broker
May 1988 - December 1988 · 7 mos
Merrill Lynch, Pierce, Fenner & Smith IncorporatedBroker
January 1982 - May 1990 · 8 yrs 4 mos
State Registrations2 states
ARTX
AdvisorBrokerBoth

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.

Exams
No exam information available for this advisor.
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