Amy D. Ragalis
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.
Amy Duncombe Ragalis, who also goes by Amy Lee Duncombe, was a registered financial professional .
Amy is a previously registered financial professional and started their career in finance in 1998. Amy had worked at 3 firms and has passed the Series 63, SIE, Series 55 and Series 7 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
November 12, 2001 - October 1, 2003
BNY CLEARING SERVICES LLC
July 13, 2000 - July 18, 2017
COWEN EXECUTION SERVICES LLC
October 20, 1998 - February 9, 1999
PETERS SECURITIES CO., LP
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: 10/29/1998
Limited Representative-Equity Trader ExamCurrent Firm
BNY CLEARING SERVICES LLC
CRD#: 15879 / SEC#: , 8-32874
Contact information
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| ONE WALL STREET HOLDINGS LLC | SHAREHOLDER | |
| BLACK, CRAIG MARSHALL | EVP / CCO / ASSISTANT SECRETARY | 22419 |
| LASALLA, FRANCIS JOSEPH | COO / NON-EMPLOYEE MANAGER | 1081124 |
| MARATEA, RAYMOND JERRY | EXECUTIVE VICE PRESIDENT | 2538056 |
| MASTRANGELO, RALPH MICHAEL | NON-EMPLOYEE MANAGER | 3168192 |
| PERNA, THOMAS | NON-EMPLOYEE MANAGER | 3169328 |
| RAPPOLD, CHARLES EDWARD II | NON-EMPLOYEE MANAGER | 1095326 |
| RUANE, BRIAN | NON-EMPLOYEE MANAGER | 3169333 |
| SHLOSS, STEPHEN R | NON-EMPLOYEE MANAGER | 1384181 |
| TOPINKA, JOSEPH ROBERT | CHIEF INFORMATION OFFICER | 3205306 |
| VIVIANO, CHARLES MICHAEL | CHAIRMAN / PRESIDENT / CEO / MANAGER / CFO | 2393319 |
Disclosures
| Regulatory Event | 12 |
| Arbitration | 9 |
Red Flags
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