James J. Rampino
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.
James John Rampino was a registered financial professional .
James is a previously registered financial professional and started their career in finance in 1990. James had worked at 8 firms and has passed the Series 63, Series 55 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
March 12, 2012 - June 5, 2013
WINTERFLOOD SECURITIES INCORPORATED
October 27, 2010 - January 10, 2012
BAY CREST PARTNERS, LLC
April 26, 2004 - September 21, 2010
BMO CAPITAL MARKETS CORP.
June 8, 1999 - April 21, 2004
WEEDEN & CO.L.P.
June 29, 1998 - June 4, 1999
UBS SECURITIES LLC
April 2, 1997 - June 29, 1998
SBC WARBURG DILLON READ INC.
September 14, 1993 - March 5, 1997
J.P. MORGAN SECURITIES LLC
March 20, 1990 - July 26, 1993
PRUDENTIAL EQUITY GROUP, 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
Series 55
Date: 3/22/2000
Limited Representative-Equity Trader ExamCurrent Firm
WINTERFLOOD SECURITIES INCORPORATED
CRD#: 156960 / SEC#: , 8-68827
Contact information
Documents
Red Flags
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