Ralph G. Ferrara
Professional summary
Being a previously registered professional could mean that this person is no longer operating under the supervision of the SEC or FINRA.
That means that the Securities and Exchange Commission may not be able to oversee the services that this specific professional is providing.
Ralph Garrett Ferrara was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1998. Ralph had worked at 2 firms and has passed the Series 25 and Series 7B exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 6, 2005 - November 1, 2005
BAY CREST PARTNERS, LLC
November 11, 2002 - February 20, 2004
BAY CREST PARTNERS, LLC
September 6, 2001 - April 19, 2002
HAPOALIM SECURITIES USA, INC.
August 28, 1998 - August 29, 2000
HAPOALIM SECURITIES USA, 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
Series 25
Date: 6/22/1999
NYSE Trading Assistant ExaminationSeries 7B
Date: 4/25/1998
Floor Broker ExaminationCurrent Firm
BAY CREST PARTNERS, LLC
CRD#: 39944 / SEC#: , 8-48931
Contact information
FINRA licenses (26 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 16 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
Check for any disclosures as part of your thorough research when choosing an advisor.
