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Ralph Oelbermann

Some features on this profile are disabled
CRD#: 1962900
RO

Professional summary

Ralph Oelbermann was barred by the FINRA from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.

Ralph is a previously registered financial advisor and started their career in finance in 1989. Prior to being barred, Ralph had worked at 11 firms, which includes J.W. COLE FINANCIAL INC., LPL FINANCIAL LLC, SECURITIES AMERICA ADVISORS INC., SECURITIES AMERICA INC., B. RILEY WEALTH ADVISORS INC., NATIONAL SECURITIES CORPORATION, GUNNALLEN FINANCIAL INC, WELLS FARGO ADVISORS FINANCIAL NETWORK LLC, MORGAN GRANT CAPITAL CORP., INVESTORS ASSOCIATES INC., HIBBARD BROWN & CO. INC..

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Ralph Winston Oelbermann

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

October 24, 2013 - December 4, 2013

J.W. COLE FINANCIAL, INC.

BD
CRD#: 124583
PALM BEACH GARDENS, FL
Past

December 18, 2012 - October 4, 2013

LPL FINANCIAL LLC

RIA
CRD#: 6413
PALM BEACH GARDENS, FL
Past

December 11, 2012 - October 4, 2013

LPL FINANCIAL LLC

BD
CRD#: 6413
PALM BEACH GARDENS, FL
Past

January 12, 2012 - November 12, 2012

SECURITIES AMERICA ADVISORS, INC.

RIA
CRD#: 110518
PALM BEACH GARDEN, FL
Past

September 2, 2011 - November 12, 2012

SECURITIES AMERICA, INC.

BD
CRD#: 10205
PALM BEACH GARDENS, FL
Past

December 18, 2008 - September 29, 2010

B. RILEY WEALTH ADVISORS, INC.

RIA
CRD#: 115927
BOCA RATON, FL
Past

October 10, 2008 - November 12, 2008

B. RILEY WEALTH ADVISORS, INC.

RIA
CRD#: 115927
PALM BEACH GARDENS, FL
Past

July 22, 2008 - October 4, 2010

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

September 4, 2001 - August 22, 2008

GUNNALLEN FINANCIAL, INC

RIA
CRD#: 17609
PALM BEACH GARDENS, FL
Past

September 4, 2001 - August 22, 2008

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
PALM BEACH GARDENS, FL
Past

July 23, 1997 - September 20, 2001

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

July 10, 1997 - August 7, 1997

MORGAN GRANT CAPITAL CORP.

BD
CRD#: 28595
GARDEN CITY, NY
Past

April 3, 1996 - July 17, 1997

INVESTORS ASSOCIATES, INC.

BD
CRD#: 958
HACKENSACK, NJ
Past

July 22, 1994 - April 19, 1996

WELLS FARGO ADVISORS FINANCIAL NETWORK, LLC

BD
CRD#: 11025
ST. LOUIS, MO
Past

June 20, 1989 - August 4, 1994

HIBBARD BROWN & CO., INC.

BD
CRD#: 18246
NEW YORK, NY

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
IAR
Series 66
Date: 7/20/2001
Uniform Combined State Law Examination
State Security Law Exam
RR
Series 63
Date: 7/21/1989
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 6/17/1989
General Securities Representative Examination
Principal/Supervisory Exam
RR
Series 24
Date: 6/14/1993
General Securities Principal Examination

Current Firm

JC
J.W. COLE FINANCIAL, INC.
J.W. COLE FINANCIAL, INC.

CRD#: 124583 / SEC#: , 8-65698

BD
Broker-Dealer Firm Regulated by FINRA (Florida district office)
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Contact information

Main Address
4301 Anchor Plaza Parkway Suite 450, Tampa, FL 33634
Mailing Address
4301 Anchor Plaza Parkway 4th Floor, Tampa, FL 33634
Phone number
(813) 935-6776
Established
Florida since 10/14/2002
Firm type
Corporation
Fiscal year end
December
Firm Size
Large
# of Employees

FINRA licenses (52 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
JWC WEALTH PARTNERSOWNER
FUSSA OCASIO, FERNANDOCFO/FINOP2471569
LOFGREN, KURT WALKERCHIEF COMPLIANCE OFFICER3048472
PACK, TODD JAMESCHIEF OPERATING OFFICER2795590
WEST, EUGENEDESIGNATED MUNICIPAL PRINCIPAL/ROSFP2059974
WOOD, ROBERT JULIANTREASURER/SECRETARY/GP/CEO3217809

Disclosures

Regulatory Event1
Arbitration1

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.

Company Information

J.W. COLE FINANCIAL, INC.

CRD#: 124583

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