Ralph L. Jeter
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 Lawrence Jeter was a registered financial professional .
Ralph is a previously registered financial professional and started their career in finance in 1970. Ralph had worked at 10 firms and has passed the Series 63, Series 55, Series 7, Series 1 and Series 00 exams.
Question & Answer
Aliases
Other business activities
CRS (Client Relationship Summary)
The CRS(Customer Relationship Summary) document is not provided.
Certified licenses
Experience
September 2, 2005 - April 29, 2010
FIS BROKERAGE & SECURITIES SERVICES LLC
March 27, 2002 - August 1, 2005
TD WATERHOUSE CAPITAL MARKETS, INC.
September 5, 2001 - May 31, 2002
TD AMERITRADE, INC.
February 6, 1998 - September 6, 2001
PERSHING ADVISOR SOLUTIONS LLC
June 9, 1997 - January 15, 1998
WALL STREET ACCESS
June 25, 1996 - May 15, 1997
MURPHEY, MARSEILLES, SMITH & NAMMACK, INC.
February 13, 1978 - April 25, 1994
RAYMOND JAMES & ASSOCIATES, INC.
November 13, 1975 - April 25, 1977
REYNOLDS SECURITIES, INC.
February 6, 1974 - November 4, 1974
CINCINNATI ANALYSTS, INC.
July 24, 1970 - January 29, 1973
MONAGHAN & CO 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 55
Date: 8/15/2004
Limited Representative-Equity Trader ExamSeries 1
Date: 10/21/1968
Registered Representative ExaminationSeries 00
Date: 10/16/1972
General Securities Principal ExaminationCurrent Firm
FIS BROKERAGE & SECURITIES SERVICES LLC
CRD#: 104162 / SEC#: , 8-52614
Contact information
FINRA licenses (53 States and Territories)
Documents
Direct owners and executive officers
| Name | Position | CRD# |
|---|---|---|
| FIS CAPITAL MARKETS US LLC | SOLE MEMBER | |
| DAMIS, JENEL CARIMA | CHIEF COMPLIANCE OFFICER | 3261583 |
| HECKER, STEVEN MICHAEL | FINOP, PRINCIPAL FINANCIAL OFFICER, PRINCIPAL OPERATIONS OFFICER | 3088510 |
| PETERS, DAVID TODD | BOARD MEMBER, ASSISTANT SECRETARY | 7798286 |
| VOGEL, MICHAEL FRANCIS | CHIEF EXECUTIVE OFFICER AND PRESIDENT, BOARD MEMBER, SECRETARY | 2814935 |
Disclosures
| Regulatory Event | 23 |
Red Flags
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