Articles Tagged with Ricky Maultasch

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Ricky MaultaschPublicly available records published by the Financial Industry Regulatory Authority (FINRA) and accessed on December 25, 2017 indicate that New York-based Wells Fargo broker/adviser Ricky Maultasch has received a pending customer dispute. Fitapelli Kurta is interested in hearing from investors who have complaints regarding Mr. Maultasch (CRD# 820887).

Ricky Maultasch has spent 41 years in the securities industry and has been registered with Wells Fargo Clearing Services in New York and Melville, New York since 2003. Previous registrations include Prudential Securities in New York, New York (1977-2003) and Bache Halsey Stuart (1976-1977). He has passed four securities industry examinations: Series 65 (Uniform Investment Adviser Law Examination), which he obtained on July 12, 2004; Series 63 (Uniform Securities Agent State Law Examination), which he obtained on October 1, 1993; PC (AMEX Put and Call Exam), which he obtained on July 13, 1977; and Series 7 (General Securities Representative Examination), which he obtained on April 10, 1976. He is a registered broker and investment adviser with 27 US states and territories: Arizona, California, Connecticut, Delaware, the District of Columbia, Florida, Illinois, Iowa, Kentucky, Maine, Maryland, Massachusetts, Michigan, Minnesota, Mississippi, Nevada, New Jersey, New York, North Carolina, Ohio, Pennsylvania, Rhode Island, South Carolina, Texas, Virginia, Washington and Wisconsin. He is registered with five self-regulatory organizations (SROs): FINRA, NYSE American LLC, Nasdaq PHLX LLC, the Nasdaq Stock Market, and the New York Stock Exchange.

According to his BrokerCheck report, he has received one pending customer complaint.