Ralph C. Johnson
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.
Ralph Charles Johnson, who also goes by Ralph Charles Moscatelli, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1992. Ralph had worked at 9 firms and has passed the Series 65, Series 63, Series 7, Series 8 and Series 24 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 19, 2007 - April 1, 2008
THE CONCORD EQUITY GROUP, LLC
August 6, 2007 - August 30, 2007
AVALON PARTNERS, INC.
February 20, 2007 - July 16, 2007
PRESTIGE FINANCIAL CENTER, INC.
March 24, 2003 - March 5, 2007
SPENCER CLARKE LLC
December 8, 1998 - May 9, 2003
SANDS BROTHERS & CO., LTD.
July 10, 1995 - November 12, 1998
CROWN FINANCIAL GROUP, INC.
April 19, 1993 - July 12, 1995
BLUESTONE CAPITAL CORP.
November 17, 1992 - April 23, 1993
GRUNTAL & CO., L.L.C.
September 15, 1992 - November 10, 1992
HIBBARD BROWN & CO., INC.
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
Series 8
Date: 2/4/1999
General Securities Sales Supervisor Examination (Options Module & General Module)Current Firm
THE CONCORD EQUITY GROUP, LLC
CRD#: 14569 / SEC#: , 8-35226
Contact information
Documents
Disclosures
| Regulatory Event | 5 |
| Arbitration | 2 |
| Bond | 1 |
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.
