Ralph V. Cerbone
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 Vincent Cerbone, who also goes by Ralph V Cerbone, Ralph VIncent Cerbone Jr, Ralph Cerbone, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1981. Ralph had worked at 8 firms and has passed the Series 66, Series 63, Series 56, Series 25 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 27, 2014 - September 25, 2014
WTS PROPRIETARY TRADING GROUP LLC
April 13, 2011 - July 5, 2011
T3 TRADING GROUP, LLC
February 18, 2009 - March 25, 2010
DRU STOCK, INC.
December 23, 2008 - January 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
October 30, 2008 - January 30, 2009
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
September 3, 1993 - May 2, 1996
FIRST OPTIONS OF CHICAGO, INC.
November 28, 1990 - June 30, 1993
FAGENSON & CO., INC.
June 23, 1989 - July 23, 1990
TRIAD SECURITIES CORP
January 4, 1985 - December 22, 1986
JEFFERIES LLC
November 25, 1981 - January 28, 1985
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
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 56
Date: 7/8/2014
Proprietary Trader Qualification ExaminationSeries 25
Date: 5/28/2009
NYSE Trading Assistant ExaminationCurrent Firm
WTS PROPRIETARY TRADING GROUP LLC
CRD#: 148117 / SEC#: , 8-67986
Contact information
Documents
Disclosures
| Regulatory Event | 6 |
Red Flags
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