Walter H. Ramsey
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.
Walter Houston Ramsey, who also goes by Jiggs Ramsey Jr, Walter Houston Ramsey Jr, was a registered financial professional .
Walter is a previously registered financial professional and started their career in finance in 1992. Walter had worked at 7 firms and has passed the Series 66, Series 63, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 2, 2018 - November 9, 2018
THE LEADERS GROUP, INC.
January 4, 2016 - December 31, 2017
THE LEADERS GROUP, INC.
January 6, 2012 - December 31, 2015
ST. BERNARD FINANCIAL SERVICES, INC.
October 19, 2010 - December 31, 2011
WORLD CAPITAL BROKERAGE, INC.
August 16, 2007 - February 21, 2008
1717 CAPITAL MANAGEMENT COMPANY
January 1, 2005 - September 20, 2010
VOYA FINANCIAL ADVISORS, INC.
October 12, 1999 - January 1, 2005
INTERLINK SECURITIES CORP.
August 10, 1993 - February 21, 2008
1717 CAPITAL MANAGEMENT COMPANY
July 16, 1992 - August 9, 1993
HORNOR, TOWNSEND & KENT, LLC
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
THE LEADERS GROUP, INC.
CRD#: 37157 / SEC#: , 8-47639
Contact information
FINRA licenses (52 States and Territories)
Disclosures
| Regulatory Event | 4 |
Red Flags
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