Debra C. 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.
Debra Cheryl Ramsey, who also goes by Debra C Baldarrama, Debra Cheryl Baldarrama, Debra Cheryl Williams, was a registered financial professional .
Debra is a previously registered financial professional and started their career in finance in 1993. Debra had worked at 11 firms and has passed the Series 63, SIE, Series 7, Series 6, 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
April 27, 2010 - December 10, 2015
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
October 13, 2009 - February 5, 2010
QUEST CAPITAL STRATEGIES, INC.
January 23, 2007 - November 2, 2007
PRINCIPAL SECURITIES, INC.
December 2, 1999 - September 10, 2004
WAMU INVESTMENTS, INC.
March 4, 1998 - November 2, 2007
PRINCIPAL FUNDS DISTRIBUTOR, INC.
July 15, 1996 - January 20, 1998
WELLS FARGO SECURITIES INC.
March 28, 1995 - November 16, 1995
ESSEX NATIONAL SECURITIES, LLC
September 21, 1994 - July 15, 1996
FIRST INTERSTATE INVESTMENTS,INC.
October 15, 1993 - September 13, 1994
DETWILER FENTON WEALTH MANAGEMENT INC
January 29, 1993 - September 1, 1993
THE EQUITABLE LIFE ASSURANCE SOCIETY OF THE UNITED STATES
January 29, 1993 - September 1, 1993
EQUITABLE ADVISORS, 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
RUSSELL INVESTMENTS FINANCIAL SERVICES, LLC
CRD#: 21771 / SEC#: , 8-39227
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| RUSSELL INVESTMENT MANAGEMENT, LLC | CORPORATE PARENT OF APPLICANT | |
| ALVAREZ, CARLOS CID | US BROKER-DEALER CHIEF COMPLIANCE OFFICER | 5689384 |
| ERICKSON, ROSS EDWARD | DIRECTOR | 3003283 |
| JUNG, BRAD EDWARD | CHAIRMAN AND PRESIDENT | 2419757 |
| SIEGEL, DAVID ANDREW | FINANCIAL AND OPERATIONS PRINCIPAL | 7440274 |
| SURLOFF, HOWARD BRIAN | CHIEF LEGAL OFFICER | 7525747 |
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.
