Gary C. Ringen
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.
Gary Charles Ringen was a registered financial professional .
Gary is a previously registered financial professional and started their career in finance in 1986. Gary had worked at 8 firms and has passed the Series 65, Series 63, SIE, Series 7 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
June 27, 2012 - December 31, 2017
PRIMEX
January 6, 2009 - June 22, 2012
NEWPORT COAST SECURITIES, INC.
January 5, 2009 - June 22, 2012
NEWPORT COAST SECURITIES, INC.
June 12, 2007 - December 31, 2008
PACIFIC WEST FINANCIAL CONSULTANTS INC
January 10, 2007 - December 31, 2008
PACIFIC WEST SECURITIES, INC.
August 5, 2003 - December 31, 2006
BROOKSTREET SECURITIES CORPORATION
November 7, 1997 - December 31, 2006
BROOKSTREET SECURITIES CORPORATION
August 23, 1994 - October 30, 1997
UNITED PACIFIC SECURITIES, INC.
August 29, 1988 - October 10, 1994
SOARES FINANCIAL GROUP, INC.
August 25, 1986 - September 27, 1988
INVESTMENT BROKERS OF AMERICA
State Registrations and Notice Filings
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Visual representation of state registrations
Exams
Current Firm
PRIMEX
CRD#: 29394 / SEC#: , 8-44331
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ADVANTAGE TRADING LLC | OWNER | |
| FELIX, WILFREDO JR | CEO, CCO, PRINCIPAL, FINOP, DIRECTOR | 2693672 |
Disclosures
| Regulatory Event | 7 |
| Arbitration | 4 |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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