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RR

Randall B. Ram

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CRD#: 2537574
RR

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.

Randall Benjamin Ram, who also goes by Randy Ram, was a registered financial professional .

Randall is a previously registered financial professional and started their career in finance in 1994. Randall had worked at 10 firms and has passed the Series 63 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Randy Ram

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary)

The CRS(Customer Relationship Summary) document is not provided.

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Past

July 30, 2004 - October 5, 2007

GUNNALLEN FINANCIAL, INC

BD
CRD#: 17609
FT. LAUDERDALE, FL
Past

October 15, 2003 - October 28, 2003

RICHMARK CAPITAL CORPORATION

BD
CRD#: 43162
IRVING, TX
Past

September 19, 2003 - August 2, 2004

ARJENT LTD.

BD
CRD#: 35909
NEW YORK, NY
Past

May 14, 2003 - July 10, 2003

HUNTER SCOTT FINANCIAL LLC.

BD
CRD#: 45559
DELRAY BH, FL
Past

February 14, 2003 - April 14, 2003

NATIONAL SECURITIES CORPORATION

BD
CRD#: 7569
BOCA RATON, FL
Past

January 17, 2002 - June 13, 2003

NEWBRIDGE SECURITIES CORPORATION

BD
CRD#: 104065
BOCA RATON, FL
Past

August 9, 2001 - January 23, 2002

PREFERRED SECURITIES GROUP, INC.

BD
CRD#: 35704
BOCA RATON, FL
Past

September 14, 2000 - September 20, 2001

BLUESTONE CAPITAL CORP.

BD
CRD#: 13516
NEW YORK, NY
Past

April 28, 1998 - October 9, 2000

PREFERRED SECURITIES GROUP, INC.

BD
CRD#: 35704
BOCA RATON, FL
Past

November 21, 1996 - March 26, 1998

R.M. STARK & CO., INC.

BD
CRD#: 7612
LAKE WORTH BEACH, FL
Past

December 15, 1994 - November 12, 1996

BILTMORE SECURITIES, INC.

BD
CRD#: 25023
FT. LAUDERDALE, FL

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

Visual representation of state registrations

This advisor is not registered in any state.

Exams

State Security Law Exam
RR
Series 63
Date: 12/19/1994
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
Series 7
Date: 12/14/1994
General Securities Representative Examination

Current Firm

GF
GUNNALLEN FINANCIAL, INC
GUNNALLEN FINANCIAL, INC | NAPEX FINANCIAL CORPORATION | NAPEX FINANCIAL CORP. | GUNNALLEN WEALTH MANAGEMENT

CRD#: 17609 / SEC#: , 8-35508

BD
Terminated by SEC on 06/11/2010
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Contact information

Main Address
Mailing Address
Phone number
Established
Florida since 01/15/1986
Firm type
Corporation
Fiscal year end
December
# of Employees

Documents

Direct owners and executive officers

NamePositionCRD#
GUNNALLEN HOLDINGS, INC.SHAREHOLDER
DANIELS, KEVIN CHRISTIANEVP OF TRADING, CHIEF COMPLIANCE OFFICER2041956
KRAUS, FREDERICK OSCAR JRPRESIDENT, CFO, FINOP1393886

Disclosures

Regulatory Event17
Arbitration13

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.

Company Information

GUNNALLEN FINANCIAL, INC

CRD#: 17609

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