Betty J. Ralston
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.
Betty Joyce Ralston, who also goes by Bj Ralston, was a registered financial professional .
Betty is a previously registered financial professional and started their career in finance in 1993. Betty had worked at 6 firms and has passed the Series 63, Series 65, Series 99TO, SIE, Series 7, Series 6, Series 24 and Series 26 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
April 22, 2016 - September 13, 2024
SS&C MARKET SERVICES, LLC
July 21, 2005 - November 7, 2016
WMSI SECURITIES LLC
May 3, 2002 - September 8, 2003
CONDUENT HR SERVICES
June 28, 1999 - February 6, 2003
BNY MELLON SECURITIES CORPORATION
April 22, 1997 - December 31, 2003
MELLON HR SECURITIES, INC.
December 22, 1993 - November 30, 1996
CBL EQUITIES, 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 99TO
Date: 1/2/2023
Operations Professional ExaminationCurrent Firm
SS&C MARKET SERVICES, LLC
CRD#: 23568 / SEC#: , 8-40530
Contact information
FINRA licenses (52 States and Territories)
Documents
Direct owners and executive officers
Disclosures
| Regulatory Event | 1 |
Red Flags
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