Craig A. 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.
Craig Alan Ramsey was a registered financial professional .
Craig is a previously registered financial professional and started their career in finance in 1987. Craig had worked at 9 firms and has passed the Series 65, Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
March 15, 2016 - November 1, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
March 14, 2016 - November 1, 2019
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
February 2, 2012 - March 14, 2016
THE STRATEGIC FINANCIAL ALLIANCE, INC.
February 2, 2012 - March 14, 2016
THE STRATEGIC FINANCIAL ALLIANCE, INC.
October 5, 2006 - January 25, 2012
ADVANCED ADVISOR GROUP, LLC
February 15, 2005 - October 9, 2006
MM ASCEND LIFE INVESTOR SERVICES, LLC
August 1, 2000 - February 15, 2005
PMG SECURITIES CORPORATION
November 11, 1998 - November 5, 1999
AMERICAN UNITED LIFE INSURANCE COMPANY
March 16, 1994 - October 13, 1997
VOYA FINANCIAL PARTNERS, LLC
November 8, 1993 - December 31, 1997
AMERICAN UNITED LIFE INSURANCE COMPANY
December 12, 1991 - January 28, 1993
AMERICAN UNITED LIFE INSURANCE COMPANY
August 24, 1989 - August 1, 2000
INVESTORS BROKERAGE SERVICES, INC.
October 8, 1987 - July 1, 1988
AETNA LIFE INSURANCE AND ANNUITY COMPANY
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
CONCOURSE FINANCIAL GROUP SECURITIES, INC.
CRD#: 15708 / SEC#: 801-56010, 8-32590
Contact information
FINRA licenses (2 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| PROTECTIVE LIFE CORPORATION | PARENT | |
| MCCRELESS, KEVIN LUCIUS | CHIEF COMPLIANCE OFFICER | 5180100 |
Regulatory assets under management
| Total Number of Accounts | 20,957 |
| AUM (Assets Under Management) | $ 4,373,015,542 |
Disclosures
| Regulatory Event | 64 |
| Arbitration | 5 |
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.
