Ralph P. Figliuolo
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 Paul Figliuolo was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1985. Ralph had worked at 7 firms and has passed the Series 63, SIE 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
January 10, 2017 - April 9, 2021
TULLETT PREBON FINANCIAL SERVICES LLC
November 17, 2009 - January 11, 2017
BGC FINANCIAL, L.P.
January 3, 2007 - December 10, 2009
TULLETT PREBON FINANCIAL SERVICES LLC
November 20, 1995 - March 19, 2007
CHAPDELAINE CORPORATE SECURITIES & CO
March 25, 1994 - October 30, 1995
CANTOR FITZGERALD SECURITIES
February 21, 1987 - October 30, 1995
MINT BROKERS
July 28, 1986 - February 3, 1987
WOLFE & HURST BOND BROKERS INC.
August 20, 1985 - February 3, 1986
PERSHING LLC
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
TULLETT PREBON FINANCIAL SERVICES LLC
CRD#: 28196 / SEC#: , 8-43487
Contact information
FINRA licenses (1 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 17 |
Red Flags
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