Unclaimed Profile

Gerald John Ricciardo

PROSPECT CAPITAL SERVICES, INC.·WESTFIELD, New Jersey

SIE, Series 7CFPClean record12 years registeredPROSPECT CAPITAL SERVICES, INC.

133 PROSPECT STREET, WESTFIELD, NJ 07090CRD# 6012314Firm CRD# 290102

Profile Verification

Sourced · FINRA · SEC · CFP Board · Self-disclosed

Identity

Gerald John Ricciardo · WESTFIELD, NJ

Registration

CRD #6012314 · PROSPECT CAPITAL SERVICES, INC. · 12 years registered

Brand Profile

Not yet started

Career History

No current investment adviser registration

Last registered firm: PROSPECT CAPITAL SERVICES, INC.

WESTFIELD FINANCIAL PLANNING

Nov 2017 – Feb 2019

WESTFIELD, NJ

KESTRA ADVISORY SERVICES, LLC

Apr 2016 – Nov 2017

WESTFIELD, NJ

NFP ADVISOR SERVICES, LLC

Apr 2014 – Sep 2016

WESTFIELD, NJ

Registrations & Exams

FINRA examinations passed

SIE

Series 7

Registration record

First registered · April 3, 2014

Years registered · 12

Professional designation · CFP

Disclosure History

Clean record · no disclosure events on file

Source: SEC IAPD. Verify on FINRA BrokerCheck →

Firm Overview

Firm

PROSPECT CAPITAL SERVICES, INC.

CRD 290102 · SEC 801-111888

AUM

$191M

Regulatory assets under management

Employees

699 client accounts

Services offered by PROSPECT CAPITAL SERVICES, INC.

Per Form ADV

Financial planning

Portfolio management (individuals)

Selection of other advisers

Publication of periodicals/newsletters

Market timing services

Charitable organization or education services

Client types served by the firm

Per Form ADV

Individuals

High Net Worth Individuals

Nonprofits & Foundations

View all advisors at PROSPECT CAPITAL SERVICES, INC. →

Introduction

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Frequently Asked Questions

What services does Gerald John Ricciardo offer?

Gerald John Ricciardo specializes in Financial Planning, Investment Management, Wealth Management.

What are Gerald John Ricciardo's credentials?

Gerald John Ricciardo holds the following professional designations: CFP. These credentials require rigorous education, examination, and ongoing continuing education.

Where is Gerald John Ricciardo located?

Gerald John Ricciardo is based in WESTFIELD, New Jersey, last registered with PROSPECT CAPITAL SERVICES, INC..

How does Gerald John Ricciardo charge for services?

Gerald John Ricciardo's firm is compensated through percentage of aum, hourly charges, subscription fees. Always review the firm's Form ADV Part 2 for complete fee details before engaging an advisor.

How large is PROSPECT CAPITAL SERVICES, INC.?

PROSPECT CAPITAL SERVICES, INC. has approximately 5 employees and manages $191M in regulatory assets under management. The firm is registered with the SEC as an investment adviser.

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