James Ricca (CRD# 4225358) is an Investment Advisor Representative working at Merrill Lynch, Pierce, Fenner & Smith Incorporated in Grosse Pointe, MI and has over 23 years of experience in the finance industry. James Ricca has taken additional exams to become a Certified Financial Planner (CFP®). CFP professionals must pass the comprehensive CFP Certification Examination, pass CFP Board's Fitness Standards for Candidates and Registrants, agree to abide by CFP Board's Code of Ethics and Professional Responsibility and Rules of Conduct which put clients' interests first and comply with the Financial Planning Practice Standards.
CRD# 6679672
Center For Financial Planning Inc.
CRD# 6182637
Osaic Wealth, Inc.
CRD# 5461474
Prudential Financial Planning Services
| Company Name | Location | Dates | Years |
|---|---|---|---|
| Bank Of America,n.a. | Grosse Pointe, MI | Jun 2011 - Current | 12 |
| Merrill Lynch, Pierce, Fenner & Smith Incorporated | Grosse Point, MI | Dec 2005 - Current | 18 |
| Exam Code | Name | Passed Date |
|---|---|---|
| S66 | NASAA Uniform Combined State Law Examination | Dec 2000 |
- MI
- TX
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Total Assets Under Management1,271,594MILLIONS
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Total Number of Accounts2,911,578ACCOUNTS
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Average Account Value$436,737
- A percentage of assets under your management
- Fixed fees (other than subscription fees)
- Commissions
- Portfolio management for individuals and/or small businesses
- Portfolio management for businesses (other than small businesses) or institutional clients
- Pension consulting services
- Selection of other advisers (including private fund managers)
- Educational seminars/workshops
- Other
AK, AL, AR, CA, CO, CT, DC, DE, FL, GA, HI, IA, ID, IL, IN, KS, KY, LA, MD, ME, MI, MN, MO, MS, MT, NC, ND, NE, NH, NJ, NM, NV, NY, OH, OK, PA, RI, SC, SD, TN, TX, UT, VA, VI, VT, WA, WI, WV, WY
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