Ralph A. Hallenborg
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 Adolph Hallenborg JR, who also goes by Ralph Adolph Hallenborg, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1992. Ralph had worked at 4 firms and has passed the Series 63, Series 55, Series 3, Series 7, Series 4 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
December 15, 2009 - April 15, 2014
JB DRAX HONORE' INC.
March 30, 2007 - June 9, 2008
GUGGENHEIM LIQUIDITY SERVICES, LLC
January 1, 1998 - December 11, 2000
AUBREY G. LANSTON & CO., INC.
July 30, 1992 - December 19, 1997
CITIGROUP GLOBAL MARKETS 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 55
Date: 6/19/2007
Limited Representative-Equity Trader ExamCurrent Firm
JB DRAX HONORE' INC.
CRD#: 149957 / SEC#: , 8-68205
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| JB HONORE' SARL | SOLE SHAREHOLDER | |
| GLASSBERG, JONATHAN WILLIAM | DIRECTOR, SECRETARY | 5655925 |
| GOMEZ, MARK JASON | MANAGER | 2865574 |
| HALLENBORG, RALPH ADOLPH JR | CHIEF OPERATING OFFICER; CHIEF COMPLIANCE OFFICER; OPTIONS PRINCIPAL; AMLCO | 2244804 |
| OBSBAUM, FREDRIC MICHAEL | FINOP, CFO | 1160811 |
| SHEPHERD, BENN | DIRECTOR | 4030489 |
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.
