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Ralph R. Schneider

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CRD#: 1837062
RS

Professional summary

Ralph Roberts Schneider was suspended by undefined from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ralph Roberts Schneider, who also goes by Bob Schneider, was a registered financial professional .

Ralph is a previously registered financial professional and started their career in finance in 1988. Ralph had worked at 3 firms and has passed the Series 63, Series 3, Series 7, Series 4, Series 24 and Series 28 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Bob Schneider

Other business activities

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.

Blog Corner

CRS (Client Relationship Summary)

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

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

December 15, 1993 - May 28, 2010

OKOBOJI FINANCIAL SERVICES, INC.

BD
CRD#: 33727
OKOBOJI, IA
Past

September 7, 1988 - December 15, 1993

DICKINSON & CO.

BD
CRD#: 689
DES MOINES, IA
Past

June 22, 1988 - September 9, 1988

SECURITIES AMERICA, INC.

BD
CRD#: 10205

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 8/3/1988
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 3
Date: 9/14/1988
National Commodity Futures Examination
General Industry/Product Exam
RR
Series 7
Date: 6/18/1988
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 4
Date: 11/12/1993
Registered Options Principal Examination
Principal/Supervisory Exam
RR
Series 24
Date: 4/7/1993
General Securities Principal Examination
Principal/Supervisory Exam
RR
Series 28
Date: 4/7/1993
Introducing Broker/Dealer Financial Operations Principal Examination

Current Firm

OF
OKOBOJI FINANCIAL SERVICES, INC.
OKOBOJI FINANCIAL SERVICES, INC.

CRD#: 33727 / SEC#: , 8-46179

BD
Terminated by SEC on 07/27/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Iowa since 09/07/1988
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
JONES, DONAHUE EDWINVICE PRESIDENT & SECRETARY & CCO1509740
SCHNEIDER, RALPH STACEYVICE PRESIDENT1773355
SCHNEIDER, RALPH ROBERTSPRESIDENT & TREASURER & CEO1837062

Disclosures

Regulatory Event2
Arbitration3

Red Flags

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Company Information

OKOBOJI FINANCIAL SERVICES, INC.

CRD#: 33727

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