Richmond I. Ramphul

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CRD#: 2108978

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.

Richmond Ishwarnauth Ramphul was a registered financial professional .

Richmond is a previously registered financial professional and started their career in finance in 1991. Richmond had worked at 11 firms and has passed the Series 65, Series 63, SIE, Series 6 and Series 26 exams.

Question & Answer

Are you a "fiduciary"?

Aliases

None

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

August 17, 2017 - November 6, 2018

SIGNAL SECURITIES, INC.

CRD#: 15916

Arlington, TX

Past

April 11, 2016 - February 8, 2017

PRINCIPAL SECURITIES, INC.

CRD#: 1137

Addison, TX

Past

August 9, 2012 - January 12, 2016

OSAIC SERVICES, INC.

CRD#: 133763

DALLAS, TX

Past

May 10, 2010 - June 4, 2012

HORNOR, TOWNSEND & KENT, LLC

CRD#: 4031

ARLINGTON, TX

Past

January 19, 2007 - May 17, 2010

NEW ENGLAND SECURITIES

CRD#: 615

ARLINGTON, TX

Past

January 6, 2006 - January 9, 2007

1717 CAPITAL MANAGEMENT COMPANY

CRD#: 4082

ARLINGTON, TX

Past

June 17, 2005 - January 11, 2006

SIGNATOR INVESTORS, INC.

CRD#: 468

BOSTON, MA

Past

June 1, 2005 - June 20, 2005

EQUITABLE ADVISORS, LLC

CRD#: 6627

NEW YORK, NY

Past

May 11, 2001 - June 1, 2005

MONY SECURITIES CORPORATION

CRD#: 4386

NEW YORK, NY

Past

January 14, 1991 - December 10, 1993

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

CRD#: 680

NEWARK, NJ

Past

January 14, 1991 - May 18, 2001

PRUCO SECURITIES, LLC.

CRD#: 5685

NEWARK, NJ

Primary Firm SEC Registration

This SEC-registered firm can serve clients nationwide. Some states may require the firm to submit a notice filing if the firm has more than 5 clients or a physical office there. You can view these state-level filings under the section titled "State Registrations and Notice Filings".

SIGNAL SECURITIES, INC.

CRD#: 15916 / SEC#: 801-63630, 8-32948

RIA

Registered Investment Advisory firm - SEC (11/4/2004 Approved)

Arizona

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

California

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Colorado

Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)

Louisiana

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/15/2004 Terminated)

Missouri

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Texas

Registered Investment Advisory firm - SEC (9/16/2005 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

Why is a state registration marked "Terminated"? When a firm registers with the SEC (usually after managing $100M+ AUM), it often withdraws separate state firm registrations unless required by that state. The firm can still serve clients there through its individually registered Investment Advisor Representatives (IARs).

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.

Don't see your state listed? The advisor may still be able to work with you under the federal De Minimis Rule, which allows up to five investment advisory clients in a state without registration. Some states, like TX, LA, NE, and NH, may still require registration or notice filing. Contact the advisor or their firm to confirm their investment advisory availability in your state.

Exams

State Security Law Exam

IAR

Series 65

Date: 8/30/1998

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 10/9/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 6

Date: 1/10/1991

Investment Company Products/Variable Contracts Representative Examination

Principal/Supervisory Exam

Series 26

Date: 3/18/1998

Investment Company Products/Variable Contracts Principal Examination

Current Firm

SIGNAL SECURITIES, INC.

CRD#: 15916 / SEC#: 801-63630, 8-32948

RIA

Registered Investment Advisory firm - SEC (11/4/2004 Approved)

Arizona

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

California

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Colorado

Registered Investment Advisory firm - SEC (12/12/2001 Cancelled)

Louisiana

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Michigan

Registered Investment Advisory firm - SEC (12/15/2004 Terminated)

Missouri

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Texas

Registered Investment Advisory firm - SEC (9/16/2005 Terminated)

Wisconsin

Registered Investment Advisory firm - SEC (11/5/2004 Terminated)

Broker-Dealer Firm Regulated by FINRA (Dallas district office)

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Contact information

Main Address

700 Throckmorton Street, Fort Worth, TX 76102

Mailing Address

700 Throckmorton Street, Fort Worth, TX 76102-5036

Phone number

(817) 877-4256

Established

Texas since 09/24/1984

Firm type

Corporation

Fiscal year end

December

Firm Size

Small

# of Employees

SEC notice filing (16 States and Territories)

FINRA licenses (45 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Customer Relationship Summary (CRS / FINRA)

Latest Form ADV

Part 2 Brochures

SIGNAL ADV BROCHURE 2025 (3/7/2025)

Direct owners and executive officers

Name	Position	CRD#
SINGLETON, IVAN JERRY	EXE CHRM, TREAS, DIR: JOINTLY OWNED W/CARLA WRIGHT	1249354
WRIGHT, CARLA BETH	DIR, CORP SEC: JOINTLY OWNED WITH JERRY SINGLETON	1888192
SNOW, CHRISTOPHER RICHARD	CEO, ROSFP, DIR, MSP	2790759
KORNS, CHASE MARSHALL	CCO	6792936
MENGIS, JANET LEE	CFO

Regulatory assets under management

Total Number of Accounts	1,832
AUM (Assets Under Management)	$ 599,186,467

Disclosures

Regulatory Event	3
Arbitration	2

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.

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Firm Stability Insights

Richmond I. Ramphul

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary)

Certified licenses

Experience

PRINCIPAL SECURITIES, INC.

OSAIC SERVICES, INC.

HORNOR, TOWNSEND & KENT, LLC

NEW ENGLAND SECURITIES

1717 CAPITAL MANAGEMENT COMPANY

SIGNATOR INVESTORS, INC.

EQUITABLE ADVISORS, LLC

MONY SECURITIES CORPORATION

THE PRUDENTIAL INSURANCE COMPANY OF AMERICA

PRUCO SECURITIES, LLC.

Primary Firm SEC Registration

SIGNAL SECURITIES, INC.

State Registrations and Notice Filings

Exams

Series 65

Date: 8/30/1998

Series 63

Date: 10/9/1992

SIE

Date: 10/1/2018

Series 6

Date: 1/10/1991

Series 26

Date: 3/18/1998

Current Firm

SIGNAL SECURITIES, INC.

Contact information

SEC notice filing (16 States and Territories)

FINRA licenses (45 States and Territories)

Documents

Part 2 Brochures

Direct owners and executive officers

Regulatory assets under management

Disclosures

Red Flags

Company Information

SIGNAL SECURITIES, INC.

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