Robert 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.
Robert Tyrone Ramsey, who also goes by Robert T Ramsey, was a registered financial professional .
Robert is a previously registered financial professional and started their career in finance in 1987. Robert had worked at 12 firms and has passed the Series 66, Series 65, Series 63, SIE, Series 7, Series 6 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
November 23, 2015 - June 5, 2019
M&T SECURITIES, INC.
November 20, 2015 - June 5, 2019
M&T SECURITIES, INC.
October 11, 2011 - November 16, 2015
LPL FINANCIAL LLC
October 11, 2011 - November 16, 2015
LPL FINANCIAL LLC
November 10, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
November 5, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.
January 2, 2009 - September 14, 2010
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC
October 29, 2007 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.
October 31, 2005 - September 14, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.
August 4, 2000 - October 26, 2005
OSAIC INSTITUTIONS, INC.
February 12, 1999 - August 16, 2000
UBS FINANCIAL SERVICES INC.
June 12, 1996 - February 24, 1999
CHARLES SCHWAB & CO., INC.
January 1, 1996 - June 17, 1996
FIRST UNION BROKERAGE SERVICES, INC.
August 17, 1994 - January 1, 1996
MARKETING ONE SECURITIES, INC.
August 3, 1992 - August 4, 1994
CAPITAL BROKERAGE CORPORATION
September 22, 1988 - January 4, 1991
UBS FINANCIAL SERVICES INC.
December 22, 1987 - October 17, 1988
PRUCO SECURITIES, LLC.
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
M&T SECURITIES, INC.
CRD#: 17358 / SEC#: , 8-35185
Contact information
FINRA licenses (25 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| M&T BANK CORPORATION | SHAREHOLDER | |
| BRETT, MICHELLE THERESE | DIRECTOR | 7965730 |
| COLLINS, ATWOOD III | DIRECTOR | 5634496 |
| DETTMANN, BRIAN JOHN | DIRECTOR | 4659106 |
| GIORGIO, HUGH EVANS | DIRECTOR | 7535939 |
| HOGAN, PAUL JOSEPH | DIRECTOR | 2849151 |
| NEWCOMB, MICHAEL FRANCIS II | DIRECTOR | 2097837 |
| PETRUS, TANYA MARIE | FINOP | 4848556 |
| REILLY, MICHAEL MACKAY | DIRECTOR | 4575618 |
| REMORENKO, ALEXSANDRA | CHIEF COMPLIANCE OFFICER | 5699601 |
| REMORENKO, ALEXSANDRA | PRESIDENT | 5699601 |
Disclosures
| Regulatory Event | 6 |
| Arbitration | 1 |
| 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.
