Ralph E. Poppell
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 Edward Poppell, who also goes by Rep Poppell, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1987. Ralph had worked at 7 firms and has passed the Series 65, Series 63, Series 52TO, Series 79TO, Series 99TO, Series 57TO, SIE, Series 87, Series 55, Series 3, Series 7, Series 14, Series 10, Series 9, Series 53, Series 4, Series 24 and Series 8 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
December 8, 2023 - November 11, 2024
MAREX CAPITAL MARKETS INC.
August 26, 2021 - December 13, 2023
COWEN AND COMPANY
August 6, 2021 - August 17, 2023
COWEN PRIME ADVISORS LLC
February 28, 2021 - March 14, 2011
COWEN PRIME SERVICES LLC
January 20, 2012 - March 14, 2011
COWEN PRIME SERVICES LLC
November 1, 2010 - February 10, 2022
COWEN PRIME SERVICES LLC
August 4, 2009 - October 25, 2011
SANDERS MORRIS LLC
August 4, 2009 - October 25, 2011
SANDERS MORRIS LLC
March 27, 2000 - May 13, 2009
STANFORD GROUP COMPANY
November 11, 1997 - May 13, 2009
STANFORD GROUP COMPANY
July 21, 1987 - November 13, 1997
LEHMAN BROTHERS 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
Series 52TO
Date: 1/2/2023
Municipal Securities Representative ExaminationSeries 79TO
Date: 1/2/2023
Investment Banking Registered Representative ExaminationSeries 99TO
Date: 1/2/2023
Operations Professional ExaminationSeries 57TO
Date: 1/2/2023
Securities Trader ExamSeries 55
Date: 6/9/2000
Limited Representative-Equity Trader ExamSeries 8
Date: 4/4/1988
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
MAREX CAPITAL MARKETS INC.
CRD#: 161014 / SEC#: , 8-69039
Contact information
FINRA licenses (52 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| MAREX SERVICES INC. | DIRECT OWNER | |
| BATES, CHRISTOPHER | FINOP, CFO, PRINCIPAL FINANCIAL OFFICER, DIRECTOR | 5648556 |
| BERNICKY, JENNIFER KAISER | CHIEF OPERATING OFFICER, DIRECTOR | 4781625 |
| CHERRY, ELIN LYNNE | CHIEF COMPLIANCE OFFICER | 2430837 |
| FALCO, CARMINE DOMENICO | PRINCIPAL OPERATIONS OFFICER | 2782798 |
| HOOD, STEPHEN MICHAEL | DIRECTOR | 3139127 |
| VITTAL, MAHESH RAM | PRES. & CEO, DIRECTOR | 4593014 |
Disclosures
| Regulatory Event | 42 |
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.
