Ralph G. Primo
Professional summary
Ralph G Primo JR was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ralph is a previously registered financial advisor and started their career in finance in 1982. Prior to being barred, Ralph had worked at 14 firms, which includes FINANCIAL WEST GROUP, BANC OF AMERICA INVESTMENT SERVICES INC., WAMU INVESTMENTS INC., GREAT WESTERN FINANCIAL SECURITIES CORPORATION, PRUDENTIAL EQUITY GROUP LLC, ASB FINANCIAL SERVICES, CITICORP INVESTMENT SERVICES, WELLS FARGO CLEARING SERVICES LLC, BATEMAN EICHLER HILL RICHARDS INCORPORATED, SECURITIES RESOLUTION CORPORATION, BIRR WILSON & CO. INC., WESTERN PACIFIC SECURITIES INC., MUNICICORP OF CALIFORNIA, CALIFORNIA MUNICIPAL INVESTORS INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 21, 2003 - August 18, 2004
FINANCIAL WEST GROUP
September 24, 2003 - August 18, 2004
FINANCIAL WEST GROUP
September 17, 2002 - June 9, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
January 8, 2001 - June 9, 2003
BANC OF AMERICA INVESTMENT SERVICES, INC.
May 1, 1998 - January 5, 2001
WAMU INVESTMENTS, INC.
October 3, 1996 - May 1, 1998
GREAT WESTERN FINANCIAL SECURITIES CORPORATION
April 8, 1996 - October 1, 1996
PRUDENTIAL EQUITY GROUP, LLC
August 24, 1995 - January 29, 1996
ASB FINANCIAL SERVICES
January 8, 1991 - August 9, 1995
CITICORP INVESTMENT SERVICES
September 4, 1990 - January 11, 1991
WELLS FARGO CLEARING SERVICES, LLC
February 25, 1986 - September 4, 1990
BATEMAN EICHLER, HILL RICHARDS, INCORPORATED
September 5, 1984 - March 5, 1986
SECURITIES RESOLUTION CORPORATION
October 4, 1983 - September 4, 1984
BIRR, WILSON & CO., INC.
March 23, 1983 - July 11, 1983
WESTERN PACIFIC SECURITIES, INC.
July 14, 1982 - March 21, 1983
MUNICICORP OF CALIFORNIA
January 5, 1982 - April 30, 1982
CALIFORNIA MUNICIPAL INVESTORS, INC.
State Registrations and Notice Filings
Listed states reflect where the advisor is authorized to serve clients under state regulations.
Visual representation of state registrations
Exams
Current Firm
FINANCIAL WEST GROUP
CRD#: 16668 / SEC#: 801-57393, 8-34448
Contact information
FINRA licenses (1 States and Territories)
Disclosures
| Regulatory Event | 73 |
| Arbitration | 7 |
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