Wayne W. Ratliff
Professional summary
Wayne Wendell Ratliff III was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Wayne is a previously registered financial professional and started their career in finance in 1987. Prior to being barred, Wayne had worked at 5 firms, which includes WALNUT STREET SECURITIES INC., AMERIPRISE ADVISOR SERVICES INC., DOMINICK & DICKERMAN LLC, DOMIK CORP., BLINDER ROBINSON & CO. INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 23, 2001 - March 22, 2001
WALNUT STREET SECURITIES, INC.
October 28, 1989 - December 12, 1989
AMERIPRISE ADVISOR SERVICES, INC.
October 3, 1988 - August 1, 1989
DOMINICK & DICKERMAN LLC
March 31, 1988 - October 4, 1988
DOMIK CORP.
November 25, 1987 - April 5, 1988
BLINDER, ROBINSON & CO., 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
WALNUT STREET SECURITIES, INC.
CRD#: 15840 / SEC#: 801-62161, 8-32772
Contact information
Documents
Part 2 Brochures
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| METLIFE, INC. | DIRECT OWNER | |
| AQUINO, VIRGELAN ERNESTO | CHIEF COMPLIANCE OFFICER, BROKER DEALER | 2976229 |
| CARRIER, ANDRE THEODORE | CHIEF OPERATIONS OFFICER | 2257728 |
| COHN, MARC ALLAN | CHIEF COMPLIANCE OFFICER, INVESTMENT ADVISER | 2464524 |
| DWYER, JAMES | VICE PRESIDENT, LICENSING AND REGISTRATION | |
| FORGET, ELIZABETH MARY | DIRECTOR | 2767945 |
| HALPERIN, JEFFREY PAUL | ANTI-MONEY LAUNDERING OFFICER | 2899327 |
| LACEK, MICHAEL J | CHIEF LEGAL OFFICER | |
| MARKHAM, CRAIG WILLIAM | PRESIDENT AND DIRECTOR | 1383638 |
| MARTINEZ, JOHN GREGORY | VICE PRESIDENT AND FINANCIAL AND OPERATIONS PRINCIPAL | 2210722 |
| TORRES, ISAAC | SECRETARY |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 3 |
Red Flags
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