Ralph I. Sutton
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 I Sutton was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 2002. Ralph had worked at 4 firms and has passed the Series 63, SIE, Series 7 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
June 9, 2012 - September 30, 2019
KEMA PARTNERS LLC
May 19, 2008 - July 26, 2010
THOMAS WEISEL PARTNERS LLC
August 10, 2004 - December 13, 2007
J.P. MORGAN SECURITIES LLC
August 1, 2002 - July 20, 2004
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
Current Firm
KEMA PARTNERS LLC
CRD#: 143752 / SEC#: , 8-67600
Contact information
FINRA licenses (22 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| CANN, HOWARD WHEELER III | MANAGING PARTNER, CFO, FINOP | |
| CANN, PETER TAYLOR | MANAGING PARTNER, CHIEF COMPLIANCE OFFICER | 4543062 |
| CANN, MICHAEL GRANT | PARTNER |
Red Flags
Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.
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