Ralph D. Pahel
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 Dunlee Pahel III, who also goes by Butch Pahel, Dunlee Enterprises Pahel III, was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1994. Ralph had worked at 9 firms and has passed the Series 63, SIE and Series 6 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
January 15, 2013 - October 31, 2014
SUNSET FINANCIAL SERVICES, INC.
July 9, 2004 - December 31, 2012
SUNSET FINANCIAL SERVICES, INC.
July 1, 2003 - July 2, 2004
SUNAMERICA SECURITIES, INC.
January 15, 2003 - July 7, 2003
ADVANTAGE CAPITAL CORPORATION
May 23, 2002 - December 31, 2002
VSR FINANCIAL SERVICES, INC.
August 15, 2000 - June 7, 2002
ALLSTATE FINANCIAL SERVICES, LLC
November 2, 1999 - September 14, 2000
VSR FINANCIAL SERVICES, INC.
July 10, 1998 - November 11, 1999
WALNUT STREET SECURITIES, INC.
March 23, 1995 - July 13, 1998
NATIONAL PLANNING CORPORATION
January 26, 1994 - July 13, 1994
METROPOLITAN LIFE INSURANCE COMPANY
January 26, 1994 - July 13, 1994
MSI FINANCIAL SERVICES, 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
SUNSET FINANCIAL SERVICES, INC.
CRD#: 3538 / SEC#: 801-71636, 8-14148
Contact information
FINRA licenses (51 States and Territories)
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| KANSAS CITY LIFE INSURANCE COMPANY, INC. | PARENT COMPANY - OWNER | |
| ALVEY, DANIEL D'ANGELO | FINOP | 8114927 |
| BIXBY, ROBERT PHILIP | DIRECTOR | 2109740 |
| BIXBY, WALTER EDWIN III | DIRECTOR | 2687392 |
| BRANDT, JANICE LEE | VICE PRESIDENT - CHIEF COMPLIANCE OFFICER BROKER/DEALER | 3232016 |
| DENNEY, SUSANNA JAYNE | VICE PRESIDENT - CHIEF OPERATIONS OFFICER | 2467520 |
| LAIRD, DAVID ARNOLD | DIRECTOR | |
| MASON, ALAN CRAIG JR | SECRETARY, DIRECTOR | |
| MILTON, MARK ALAN | DIRECTOR | 2155553 |
| NOGALSKI, JOHN LOUIS | VICE PRESIDENT, TAXES | 8083220 |
| PEIL, KRISTEN MICHELLE | AVP | 2438293 |
| PIEPER, JENNIFER KAY | VICE PRESIDENT, TREASURER & CONTROLLER | 7832157 |
| ULLOM, KELLY TODD | PRESIDENT / DIRECTOR | 1569201 |
Disclosures
| Regulatory Event | 9 |
| Arbitration | 2 |
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.
