Ralph M. Riccardi
Professional summary
Ralph Michael Riccardi was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Ralph is a previously registered financial professional and started their career in finance in 1984. Prior to being barred, Ralph had worked at 8 firms, which includes A. G. EDWARDS & SONS INC., MERRILL LYNCH PIERCE FENNER & SMITH INCORPORATED, DICKINSON & CO., ADVEST INC., LEHMAN BROTHERS INC., E. F. HUTTON & COMPANY INC, PRESCOTT BALL & TURBEN INC., BEVILL BRESLER & SCHULMAN INCORPORATED.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 24, 1995 - May 31, 1995
A. G. EDWARDS & SONS, INC.
May 20, 1993 - May 12, 1995
MERRILL LYNCH, PIERCE, FENNER & SMITH INCORPORATED
May 14, 1992 - May 22, 1993
DICKINSON & CO.
April 4, 1990 - May 29, 1992
ADVEST, INC.
February 15, 1988 - April 23, 1990
LEHMAN BROTHERS INC.
April 9, 1987 - February 15, 1988
E. F. HUTTON & COMPANY INC
February 7, 1985 - April 23, 1987
PRESCOTT, BALL & TURBEN, INC.
January 25, 1984 - January 7, 1985
BEVILL, BRESLER & SCHULMAN 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 8
Date: 8/17/1990
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
A. G. EDWARDS & SONS, INC.
CRD#: 4 / SEC#: , 8-13580
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| A.G. EDWARDS, INC. | HOLDING COMPANY | |
| ATKIN, MARY MARGARET | DIRECTOR, EXECUTIVE VICE PRESIDENT | 863962 |
| BAGBY, ROBERT LEE | CHAIRMAN OF BOARD OF DIRECTORS | 9985 |
| BIEBEL, PETER ALAN | SENIOR REGISTERED OPTIONS PRINCIPAL | 722143 |
| GRUMKE, CLAY LEONARD | CHIEF LEGAL COUNSEL, VICE PRESIDENT | 2199350 |
| HOPKINS, DAVID RICHARD | EXECUTIVE VICE PRESIDENT, CHIEF FINANCIAL OFFICER, TREASURER | 4802877 |
| KELLY, DOUGLAS LAIRD | CORPORATE SECRETARY, DIRECTOR, EXECUTIVE VP; CHIEF OPERATING OF | 2428802 |
| LUDEMAN, DANIEL JAMES | PRESIDENT AND CHIEF EXECUTIVE OFFICER | 874126 |
| MAHAT, MARC ALAN | COMPLIANCE REGISTERED OPTIONS PRINCIPAL | 1967091 |
| UNDERWOOD, BRIAN CLINTON | DIRECTOR, CHIEF COMPLIANCE OFFICER, SENIOR VICE PRESIDENT | 1229168 |
Disclosures
| Regulatory Event | 77 |
| Arbitration | 265 |
| Bond | 3 |
Red Flags
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