Ralph W. Tilley
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 Wayne Tilley was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1983. Ralph had worked at 1 firm and has passed the Series 63, SIE, Series 99, Series 22 and Series 39 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 30, 1992 - January 31, 2017
CON AM SECURITIES, INC.
April 28, 1983 - June 25, 1987
CON AM SECURITIES, 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
CON AM SECURITIES, INC.
CRD#: 13148 / SEC#: , 8-28758
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CONTINENTAL AMERICAN PROPERTIES, LTD. | PARENT / STOCKHOLDER | |
| SVATOS, ROBERT JOSEPH | PRESIDENT, CEO, CCO, SECRETARY AND DIRECTOR | 6221828 |
Disclosures
| Regulatory Event | 1 |
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.
