Ralph W. Lettieri

CHICKASAW CAPITAL MANAGEMENT

Palos Verdes Estates, CA

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CRD#: 2218171

Professional summary

Ralph William Lettieri JR., who also goes by (jr) Ralph William Lettieri, Ralph William Lettieri Jr, Ralph William Lettieri, is a registered financial advisor currently at CHICKASAW CAPITAL MANAGEMENT, LLC located in Palos Verdes Estates, California and CHICKASAW SECURITIES, LLC located in Memphis, Tennessee.

Ralph is registered as an IAR (Investment Advisor Representative) and RR (Registered Representative) and started their career in finance in 1992. Ralph has worked at 10 firms and has passed the Series 66, Series 65, Series 63, SIE and Series 7 exams.

Question & Answer

Are you a "fiduciary"?

Yes

Aliases

(jr) Ralph William Lettieri | Ralph William Lettieri Jr | Ralph William Lettieri

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) - RIA

Click below to view Ralph William Lettieri JR.'s CRS (Customer Relationship Summary).

CRS (Customer Relationship Summary)

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

Current

August 10, 2020 - Present

CHICKASAW CAPITAL MANAGEMENT, LLC

RIA

CRD#: 127398

Palos Verdes Estates, CA

Current

August 7, 2020 - Present

CHICKASAW SECURITIES, LLC

Office #1: 6075 Poplar Avenue, Suite 720, Memphis, TN 38119

CRD#: 128711

Memphis, TN

Past

April 18, 2018 - July 23, 2020

ENTRUST GLOBAL SECURITIES LLC

CRD#: 146443

NEW YORK, NY

Past

November 3, 2016 - April 5, 2018

INVESCO ADVISERS, INC.

RIA

CRD#: 105360

PALOS VERDES ESTATES, CA

Past

November 1, 2016 - April 5, 2018

INVESCO DISTRIBUTORS, INC.

CRD#: 7369

HOUSTON, TX

Past

July 24, 2003 - November 13, 2015

GOLDMAN SACHS & CO. LLC

RIA

CRD#: 361

PALOS VERDES ESTATES, CA

Past

July 24, 2003 - November 13, 2015

GOLDMAN SACHS ASSET MANAGEMENT, L.P.

RIA

CRD#: 107738

NEW YORK, NY

Past

August 14, 1998 - October 27, 2016

GOLDMAN SACHS & CO. LLC

CRD#: 361

NEW YORK, NY

Past

February 7, 1994 - August 4, 1998

LORD ABBETT DISTRIBUTOR LLC

CRD#: 530

JERSEY CITY, NJ

Past

August 20, 1992 - February 1, 1994

FFP SECURITIES, INC.

CRD#: 16337

CHESTERFIELD, MO

Past

April 27, 1992 - August 24, 1992

CINCINNATI ANALYSTS, INC.

CRD#: 5478

CINCINNATI, OH

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".

CHICKASAW CAPITAL MANAGEMENT, LLC

CRD#: 127398 / SEC#: 801-62121

RIA

Registered Investment Advisory firm - (6/12/2003 Approved)

State Registrations and Notice Filings

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

IAR

means the advisor is registered as an Investment Advisor Representative in this state and is authorized to provide investment advice to clients there.

indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

Alaska
(1/14/2022)

Arizona
(2/5/2021)

Arkansas
(1/14/2022)

California
(8/7/2020)

IAR

California
(8/10/2020)

Colorado
(2/5/2021)

Hawaii
(1/14/2022)

Idaho
(2/5/2021)

Iowa
(1/14/2022)

Kansas
(1/14/2022)

Louisiana
(1/14/2022)

Minnesota
(1/14/2022)

Missouri
(1/14/2022)

Montana
(2/5/2021)

Nebraska
(1/14/2022)

Nevada
(4/13/2021)

New Mexico
(2/5/2021)

North Dakota
(1/14/2022)

Oklahoma
(1/14/2022)

Oregon
(8/7/2020)

South Dakota
(1/14/2022)

Tennessee
(8/7/2020)

Texas
(1/14/2022)

Utah
(2/5/2021)

Washington
(8/7/2020)

Wyoming
(2/5/2021)

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. Note: This rule does not apply to broker-dealer activity.

Exams

State Security Law Exam

IAR

Series 66

Date: 12/2/2002

Uniform Combined State Law Examination

State Security Law Exam

IAR

Series 65

Date: 5/24/1994

Uniform Investment Adviser Law Examination

State Security Law Exam

Series 63

Date: 6/4/1992

Uniform Securities Agent State Law Examination

General Industry/Product Exam

SIE

Date: 10/1/2018

Securities Industry Essentials Examination

General Industry/Product Exam

Series 7

Date: 4/9/1992

General Securities Representative Examination

SRO Registrations

FINRA

Current Firm

CHICKASAW CAPITAL MANAGEMENT, LLC

CRD#: 127398 / SEC#: 801-62121

RIA

Registered Investment Advisory firm - (6/12/2003 Approved)

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Contact information

Main Address

6075 Poplar Ave Suite 720, Memphis, TN 38119

Mailing Address

Phone number

(901) 537-1866

Established

Firm type

Fiscal year end

# of Employees

SEC notice filing (51 States and Territories)

Documents

Customer Relationship Summary (CRS / SEC)

Latest Form ADV

Part 2 Brochures

CCM ADV PART 2A ANNUAL AMENDMENT (3/28/2025)

Regulatory assets under management

Total Number of Accounts	433
AUM (Assets Under Management)	$ 2,529,750,391

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

Ralph W. Lettieri

Professional summary

Question & Answer

Aliases

Other business activities

Blog Corner

CRS (Client Relationship Summary) - RIA

Click below to view Ralph William Lettieri JR.'s CRS (Customer Relationship Summary).

Certified licenses

Experience

CHICKASAW SECURITIES, LLC

ENTRUST GLOBAL SECURITIES LLC

INVESCO ADVISERS, INC.

INVESCO DISTRIBUTORS, INC.

GOLDMAN SACHS & CO. LLC

GOLDMAN SACHS ASSET MANAGEMENT, L.P.

GOLDMAN SACHS & CO. LLC

LORD ABBETT DISTRIBUTOR LLC

FFP SECURITIES, INC.

CINCINNATI ANALYSTS, INC.

Primary Firm SEC Registration

CHICKASAW CAPITAL MANAGEMENT, LLC

State Registrations and Notice Filings

Exams

Series 66

Date: 12/2/2002

Series 65

Date: 5/24/1994

Series 63

Date: 6/4/1992

SIE

Date: 10/1/2018

Series 7

Date: 4/9/1992

FINRA

Current Firm

CHICKASAW CAPITAL MANAGEMENT, LLC

Contact information

SEC notice filing (51 States and Territories)

Documents

Part 2 Brochures

Regulatory assets under management

Red Flags

Company Information

CHICKASAW CAPITAL MANAGEMENT, LLC

TRUST BUT VERIFY

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