Nigel A. Ramsay
Professional summary
Nigel Anthony Ramsay was barred by the SEC from acting as a broker or investment advisor or otherwise associating with a broker-dealer firm.
Nigel is a previously registered financial professional and started their career in finance in 1994. Prior to being barred, Nigel had worked at 5 firms, which includes R.M. STARK & CO. INC., LASALLE ST SECURITIES L.L.C., SAPERSTON FINANCIAL INC., TAJ GLOBAL EQUITIES INC., FAIRCHILD FINANCIAL GROUP INC..
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 1998 - April 3, 2000
R.M. STARK & CO., INC.
October 16, 1997 - August 21, 1998
LASALLE ST SECURITIES, L.L.C.
June 30, 1995 - October 16, 1997
SAPERSTON FINANCIAL INC.
February 28, 1994 - July 12, 1995
TAJ GLOBAL EQUITIES, INC.
January 12, 1994 - February 24, 1994
FAIRCHILD FINANCIAL GROUP, 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
R.M. STARK & CO., INC.
CRD#: 7612 / SEC#: , 8-22543
Contact information
FINRA licenses (45 States and Territories)
Direct owners and executive officers
Disclosures
| Regulatory Event | 4 |
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.
