Luis Ricardo is a registered investment advisor, based in Columbus, OH, with 32 years of industry experience. Luis is also registered as a broker, so some compensation may come from commissions on products sold.
Location
One Nationwide Plaza, 03-07-202, Columbus, OH, 43215
Get directionsHistory
Regulatory History (2)
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Customer Dispute
November 2007Settled
Criminal
April 1982Final Disposition
Other Business Activities
Luis is a self-employed musician in Houston, TX, since 2017. This activity requires a few hours per week and is not investment-related.
Employment History
Current Registrations
Nationwide Investment Services CorporationBroker
October 2023 - Present · 3 yrs
Nationwide Investment Advisors, LLC
October 2023 - Present · 3 yrs
Previous Registrations
VALIC Financial Advisors, INC.
June 2022 - September 2023 · 1 yr 3 mos
VALIC Financial Advisors, INC.Broker
June 2022 - September 2023 · 1 yr 3 mos
Allstate Financial Services, LLCBroker
March 2017 - June 2022 · 5 yrs 3 mos
Allstate Financial Advisors, LLC
March 2017 - June 2022 · 5 yrs 3 mos
Transamerica Financial Advisors, INCBroker
January 2012 - February 2017 · 5 yrs 1 mo
Transamerica Financial Advisors, INC.
January 2012 - February 2017 · 5 yrs 1 mo
Investment Advisors International, INC.
May 2011 - January 2012 · 8 mos
World Group Securities, INC.Broker
March 2010 - January 2012 · 1 yr 10 mos
Princor Financial Services CorporationBroker
February 2005 - November 2009 · 4 yrs 9 mos
1717 Capital Management CompanyBroker
May 2000 - February 2005 · 4 yrs 9 mos
Signator Investors, INC.Broker
November 1996 - May 2000 · 3 yrs 6 mos
John Hancock Mutual Life Insurance CompanyBroker
November 1996 - May 1997 · 6 mos
Guardian Investor Services CorporationBroker
February 1996 - November 1996 · 9 mos
Mony Securities CORP.Broker
July 1992 - February 1995 · 2 yrs 7 mos
State Registrations2 states
OHTX
AdvisorBroker
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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