Warren A. Ramey
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.
Warren Anderson Ramey III, who also goes by Andy Ramey III, Warren Anderson III Ramey, was a registered financial professional .
Warren is a previously registered financial professional and started their career in finance in 1983. Warren had worked at 6 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
June 22, 2006 - August 29, 2016
NEWEDGE SECURITIES, LLC
April 23, 2004 - December 31, 2016
SOLENTURE ADVISORS LLC
August 1, 2003 - July 10, 2006
WALNUT STREET SECURITIES, INC.
May 3, 2002 - August 1, 2003
NATHAN & LEWIS SECURITIES, INC.
February 3, 1992 - September 5, 2000
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
November 14, 1987 - May 31, 1989
ROBERT W. BAIRD & CO. INCORPORATED
June 16, 1983 - May 31, 1989
NORTHWESTERN MUTUAL INVESTMENT SERVICES, LLC
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
NEWEDGE SECURITIES, LLC
CRD#: 10674 / SEC#: , 8-27663
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| NEWEDGE CAPITAL GROUP, LLC | SHAREHOLDER | |
| BANCO, JOSEPH FRANKLIN JR | PRINCIPAL FINANCIAL OFFICER AND CFO | 2850198 |
| CHAFFEE, HAROLD GERARD | CHIEF COMPLIANCE OFFICER | 2905661 |
| FONG, SARAH F | VICE PRESIDENT | 2937709 |
| JENKINS, WILLIAM HENRY | MANAGING DIRECTOR - SUPERVISION | 3004337 |
| SCHNIER, DAVID JASON | GENERAL COUNSEL AND SECRETARY | 5110928 |
| SESLER, JEAN ANN | PRINCIPAL OPERATIONS OFFICER | 1809578 |
| SMITH, KYLE PETER | PRESIDENT | 2142563 |
Disclosures
| Regulatory Event | 9 |
| Civil Event | 2 |
| Arbitration | 3 |
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.
