Scott T. Ramsey
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.
Scott Turner Ramsey was a registered financial professional .
Scott is a previously registered financial professional and started their career in finance in 1986. Scott had worked at 6 firms and has passed the Series 63 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
July 21, 2000 - August 13, 2003
REFCO SECURITIES, LLC
July 8, 1999 - July 12, 2000
LFG, L.L.C.
July 1, 1996 - June 4, 1997
MF GLOBAL INC.
February 16, 1988 - July 1, 1996
INDEX SECURITIES, INC.
November 14, 1986 - December 19, 1987
J. W. GANT & ASSOCIATES, INC.
July 28, 1986 - November 24, 1989
NASH, WEISS & CO.
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
REFCO SECURITIES, LLC
CRD#: 14094 / SEC#: , 8-26718
Contact information
Documents
Disclosures
| Regulatory Event | 7 |
| Civil Event | 1 |
| Arbitration | 3 |
| Bond | 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.
