Ralph D. Varriale
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 Dominick Varriale, who also goes by Ralph D Varriale, Ralph Varriale, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1987. Ralph had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6, Series 9 and Series 10 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
May 27, 2013 - May 30, 2023
FIDELITY BROKERAGE SERVICES LLC
November 4, 2010 - October 1, 2012
ALLSTATE FINANCIAL SERVICES, LLC
January 23, 2004 - April 27, 2006
BANC OF AMERICA SECURITIES LLC
April 20, 2001 - December 31, 2003
BANC OF AMERICA SECURITIES LLC
January 1, 1999 - March 26, 2001
COWEN AND COMPANY
December 17, 1996 - November 16, 1998
COMMERZ MARKETS LLC
March 8, 1995 - December 17, 1996
DRESDNER SECURITIES (USA) INC.
August 28, 1990 - March 6, 1995
S.G. WARBURG & CO. INC.
June 29, 1989 - December 12, 1989
METROPOLITAN LIFE INSURANCE COMPANY
June 29, 1989 - December 12, 1989
MSI FINANCIAL SERVICES, INC.
May 14, 1988 - June 5, 1989
LEHMAN BROTHERS INC.
May 21, 1987 - May 14, 1988
E. F. HUTTON & COMPANY INC
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
FIDELITY BROKERAGE SERVICES LLC
CRD#: 7784 / SEC#: , 8-23292
Contact information
FINRA licenses (53 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIDELITY GLOBAL BROKERAGE GROUP, INC. | MEMBER | |
| BRANDNER, CLINT RYAN | CHIEF OPERATIONS OFFICER | 7209362 |
| CENATIEMPO, PHILIP J | HEAD OF STRATEGY, PLANNING & ADVICE | 4809405 |
| DYER, JANET MARIE | CO - CHIEF COMPLIANCE OFFICER | 3186352 |
| MASCIALINO, ROBERT RAYMOND | PRESIDENT/CEO/DIRECTOR | 2078086 |
| MCLAUGHLIN, KEVIN MICHAEL | CHIEF FINANCIAL OFFICER | 5392417 |
| MERKEN, GAIL RACHEL | CHIEF COMPLIANCE OFFICER | 5546717 |
| PETERSON, PAUL DAVID | HEAD OF INVESTMENT ADVISOR GROUP | 2387115 |
| STURDY, CHARLES HANCOCK | SECRETARY AND GENERAL COUNSEL |
Disclosures
| Regulatory Event | 23 |
| Arbitration | 126 |
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.
