Arnold S. Ripperger
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.
Arnold Steven Ripperger, who also goes by Arnie Ripperger, was a registered financial professional .
Arnold is a previously registered financial professional and started their career in finance in 1986. Arnold had worked at 3 firms and has passed the Series 63, Series 79TO, SIE, Series 7, Series 52, Series 53 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
October 9, 2009 - January 5, 2026
D.M. KELLY & COMPANY
March 2, 2009 - October 13, 2009
D.A. DAVIDSON & CO.
February 24, 1986 - February 27, 2009
RUAN SECURITIES CORPORATION
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Series 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationCurrent Firm
D.M. KELLY & COMPANY
CRD#: 38770 / SEC#: , 8-48398
Contact information
FINRA licenses (40 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| DANIEL M KELLY 2004 TRUST, PATRICK B. KELLY TRUSTEE | NON-VOTING SHAREHOLDER | |
| HALLIWELL, KATHLEEN CRICHTON | CHIEF COMPLIANCE OFFICER, OSJ SUPERVISOR | |
| KELLY, DANIEL MICHAEL | PRESIDENT, VOTING SHAREHOLDER OF DANIEL M KELLY 2004 TRUST | 266912 |
| KELLY, PATRICK BENJAMIN | TRUSTEE OF DANIEL M KELLY 2004 TRUST | |
| LORBIECKI, DAVID PALMER | EXECUTIVE VICE PRESIDENT | 2357042 |
| SHIRES, KEVIN ALEXANDER | CHIEF FINANCIAL OFFICER, FINOP | 4974827 |
Disclosures
| Regulatory Event | 1 |
Red Flags
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