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Robert Tyrone Ramsey

CRD# 1742703·Registered 1987 - 2019
Previously Registered: Being a previously registered professional could mean that Robert 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.

Professional Summary

Robert Tyrone Ramsey, who also goes by Robert T Ramsey, was a registered financial advisor. Robert was a previously registered financial professional and started their career in finance 1987 - 2019. 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.

At a Glance

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Fiduciary Standard

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Fee Structure

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Account Minimum

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Active Clients

Fiduciary Standard

Fee Structure

Account Minimum

Active Clients

Other Aliases

Robert T Ramsey

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Videos & Posts

This advisor has not added any videos or posts yet.

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Contact Information

No current employment

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Disclosures are events reported to regulators, such as customer disputes, regulatory actions, employment separations, or financial events. Some are resolved, denied, or contested — a disclosure is not a verdict. We recommend asking an advisor directly about any disclosure on their record.

Disclosures on record.

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.

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Years of Experience

38 years in the financial services industry

Current & Past Employments

M&T SECURITIES, INC.·CRD# 17358
RIA
Berlin, MD
November 23, 2015 - June 5, 2019
M&T SECURITIES, INC.·CRD# 17358
BD
Berlin, MD
November 20, 2015 - June 5, 2019
LPL FINANCIAL LLC·CRD# 6413
RIA
Danbury, CT
October 11, 2011 - November 16, 2015
LPL FINANCIAL LLC·CRD# 6413
BD
Danbury, CT
October 11, 2011 - November 16, 2015
UVEST FINANCIAL SERVICES GROUP, INC.·CRD# 13787
RIA
Danbury, CT
November 10, 2010 - October 11, 2011
UVEST FINANCIAL SERVICES GROUP, INC.·CRD# 13787
BD
Danbury, CT
November 5, 2010 - October 11, 2011
RAYMOND JAMES FINANCIAL SERVICES ADVISORS, INC·CRD# 149018
RIA
Danbury, CT
January 2, 2009 - September 14, 2010
RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694
RIA
Danbury, CT
October 29, 2007 - January 2, 2009
RAYMOND JAMES FINANCIAL SERVICES, INC.·CRD# 6694
BD
Danbury, CT
October 31, 2005 - September 14, 2010
OSAIC INSTITUTIONS, INC.·CRD# 35371
BD
Meriden, CT
August 4, 2000 - October 26, 2005
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
February 12, 1999 - August 16, 2000
CHARLES SCHWAB & CO., INC.·CRD# 5393
BD
Westlake, TX
June 12, 1996 - February 24, 1999
FIRST UNION BROKERAGE SERVICES, INC.·CRD# 8112
BD
Charlotte, NC
January 1, 1996 - June 17, 1996
MARKETING ONE SECURITIES, INC.·CRD# 16611
BD
Portland, OR
August 17, 1994 - January 1, 1996
CAPITAL BROKERAGE CORPORATION·CRD# 10465
BD
Glen Allen, VA
August 3, 1992 - August 4, 1994
UBS FINANCIAL SERVICES INC.·CRD# 8174
BD
Weehawken, NJ
September 22, 1988 - January 4, 1991
PRUCO SECURITIES, LLC.·CRD# 5685
BD
December 22, 1987 - October 17, 1988

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Current Firm

MS
M&T SECURITIES, INC.

M&T DISCOUNT BROKERAGE SERVICES, INC. | M&T SECURITIES, INC.

CRD#: 17358 / SEC#: 8-35185
BD
Broker-Dealer Firm Regulated by FINRA (Philadelphia district office)

Contact Information

Main Address

1 Light Street Suite 2000, Buffalo, NY 14202

Mailing Address

1 Light Street, Baltimore, MD 21202

Phone Number

(410) 244-4307

Established

New York since 11/13/1985

Firm Type

Corporation

Fiscal Year End

December

Firm Size

Small

# of Employees

901

FINRA licenses (24 States and Territories)

Registered to provide investment advisory services in 0 US states and territories.

Documents

Customer Relationship Summary (CRS / FINRA)Latest Form ADV

Direct owners and executive officers

NamePositionCRD#
M&T BANK CORPORATIONSHAREHOLDER—
BRETT, MICHELLE THERESEDIRECTOR7965730
COLLINS, ATWOOD IIIDIRECTOR5634496
DETTMANN, BRIAN JOHNDIRECTOR4659106
GIORGIO, HUGH EVANSDIRECTOR7535939
HOGAN, PAUL JOSEPHDIRECTOR2849151
JENNINGS, RACHEL MENNDIRECTOR3265541
PETRUS, TANYA MARIEPRINCIPAL FINANCIAL OFFICER/FINOP4848556
REILLY, MICHAEL MACKAYDIRECTOR4575618
REMORENKO, ALEXSANDRAPRESIDENT5699601
REMORENKO, ALEXSANDRACHIEF COMPLIANCE OFFICER5699601

Disclosures

Regulatory Event

6

Arbitration

1

Bond

1

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Other business activities

Information obtained from regulatory filings. Advisors can request corrections through their firm or regulator.

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.

The advisor shows no other business activity.

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State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.
This advisor is not registered in any state.

Exams

Financial professionals may take different exams throughout their careers based on the types of services they provide and roles they perform.

Series 66 — Uniform Combined State Law Examination

Passed Oct 2007About the Series 66 exam

Series 65 — Uniform Investment Adviser Law Examination

Passed Mar 1999About the Series 65 exam

Series 63 — Uniform Securities Agent State Law Examination

Passed Apr 1988About the Series 63 exam

SIE — Securities Industry Essentials Examination

Passed Oct 2018About the SIE exam

Series 7 — General Securities Representative Examination

Passed May 1989About the Series 7 exam

Series 6 — Investment Company Products/Variable Contracts Representative Examination

Passed Dec 1987About the Series 6 exam

Series 24 — General Securities Principal Examination

Passed Aug 1993About the Series 24 exam

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CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

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