Gene P. Ramos
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.
Gene Paul Ramos, who also goes by Gene P. Reynolds, was a registered financial professional .
Gene is a previously registered financial professional and started their career in finance in 1997. Gene had worked at 19 firms and has passed the Series 63 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
January 11, 2007 - July 23, 2008
WINDSOR STREET CAPITAL, LP
November 21, 2006 - January 19, 2007
GREAT EASTERN SECURITIES, INC.
June 20, 2006 - July 18, 2006
NATIONAL SECURITIES CORPORATION
April 4, 2006 - July 7, 2006
BASIC INVESTORS INC.
May 25, 2005 - February 7, 2006
WESTROCK ADVISORS, INC.
May 3, 2004 - June 2, 2005
GUNNALLEN FINANCIAL, INC
April 25, 2003 - April 27, 2004
HARRISON SECURITIES, INC.
January 15, 2003 - March 25, 2003
GUNNALLEN FINANCIAL, INC
December 21, 2001 - January 28, 2003
EKN FINANCIAL SERVICES INC.
October 22, 2001 - December 21, 2001
EHRENKRANTZ KING NUSSBAUM
May 24, 2001 - October 24, 2001
WEATHERLY SECURITIES CORPORATION
November 7, 2000 - May 17, 2001
JOSEPH STEVENS & CO., INC.
February 23, 2000 - November 3, 2000
WHITEHALL WELLINGTON INVESTMENTS, INC.
September 20, 1999 - February 24, 2000
W.A. CAPITAL MARKETS
February 25, 1999 - July 27, 1999
GLOBAL CAPITAL SECURITIES CORPORATION
August 27, 1998 - March 22, 1999
CAMBRIDGE CAPITAL, LLC
July 7, 1998 - August 28, 1998
PACIFIC CONTINENTAL SECURITIES CORPORATION
February 3, 1998 - June 25, 1998
W.J. NOLAN & COMPANY, INC.
August 26, 1997 - January 8, 1998
JOSEPHTHAL & CO., INC.
May 15, 1997 - November 4, 1997
TASIN & COMPANY, 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
WINDSOR STREET CAPITAL, LP
CRD#: 34171 / SEC#: , 8-46219
Contact information
Documents
Disclosures
| Regulatory Event | 37 |
| Arbitration | 15 |
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.
