George Ricks, financial advisor Lima OH
93 score

George Ricks

CRD Number: 3096461
Current Firm: Northwestern Mutual Investment Services,llc

George Ricks (CRD# 3096461) is an Investment Advisor Representative working at Northwestern Mutual Investment Services,llc in Lima, OH and has over 12 years of experience in the finance industry.

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Company Name Location Dates Years
Northwestern Mutual Wealth Management Company Milwaukee, WI Jan 2016 - Current < 1
Northwestern Mutual Investment Services, LLC Lima, OH Dec 1998 - Current 18
Northwestern Mutual Life Insurance Company Milwaukee, WI Aug 1998 - Current 18
Northwestern Mutual Investment Services, LLC Lima, OH Mar 2011 - Mar 2016 5
Exam Code Name Passed Date
S63 Uniform Securities State Law Examination Mar 2004
S65 NASAA Investment Advisors Law Examination Mar 2011
Contact Info for George W. Ricks
Phone Number: 866-664-7737
Registered State(s):
  • OH
By the Numbers
  • Total Assets Under Management
    0
    MILLIONS
  • Total Number of Accounts
    0
    ACCOUNTS
  • Average Account Value
    $0
Compensation Options
  • Fixed fees (other than subscription fees)
  • Other
Advisory Services Offered
  • Selection of other advisers (including private fund managers)
  • Other
Types of Clients
Registered States

AK, AL, AR, AZ, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, OR, PA, RI, SC, SD, TN, TX, UT, VA, VT, WA, WI, WV

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BADGES
93
Clean Record
This advisor has a clean track record with regulators.

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